Udot Project Manager Guide-Goooooooooooooood

Table of Contents
TABLE OF CONTENTS
3.4 Resources
3.4.1 Helpful Links
3.4.2 Tools
3.4.3 Contacts
3.4.4 Business Systems
1- INTRODUCTION............................5
1.0 Overview
1.1 What is a project manager?
1.2 How will this guide help?
1.3 How is this guide organized?
4- MANAGE PROJECT EXECUTION....18
2- HOW PROJECTS ARE

CREATED.......................................7
4.0 Purpose
4.1 Managing the Scope
4.1.1 Monitor
4.1.2 Investigate
4.1.3 Take Action
4.1.4 Report
4.2 Managing the Schedule
4.2.1 Monitor
4.2.2 Investigate
4.2.3 Take Action
4.2.4 Report
4.3 Managing the Budget
4.3.1 Monitor
4.3.2 Investigate
4.3.3 Take Action
4.3.4 Report
4.4 Managing the Team
4.4.1 Monitor
4.4.2 Investigate
4.4.3 Take Action
4.4.4 Report
4.5 Chapter Summary
4.6 Resources
4.6.1 Helpful Links
4.6.2 Tools
4.6.3 Contacts
2.0 Purpose
2.1 Groups that Generate Projects
2.1.1 UDOT Program Managers
2.1.2 UDOT Portfolio Managers
2.1.3 Metropolitan Planning Organizations
2.1.4 Joint Highway Committee
2.1.5 UDOT Fund Fact Sheets
2.2 Different Types of Project Funding
2.2.1 Federal-aid Funding
2.2.2 State Funding
2.3 Process for Creating Projects
2.4 Chapter Summary
2.5 Resources
2.5.1 Helpful Links
2.5.2 Tools
2.5.3 Contacts
3- PLANNING THE PROJECT..........11

3.0 Purpose
3.1 Establishing Project Context
3.1.1 Review Project Information
3.1.2 Project Sponsor Expectations
3.1.3 Select the Definition Team
3.1.4 Establish the Project Framework
3.1.4.1 Project Objective Statement
3.1.4.2 Project Goals
3.1.4.3 Project Scope Statements
3.1.4.4 Constraint Matrix
3.1.4.5 Project Delivery Method
3.1.4.6 Potential Project Risks
3.1.4.7 Review and Update Project Estimate
3.1.4.8 Select Project Delivery Team
3.1.5 Project Sponsor Scope & Approach
Validation
3.2 Initiate the Project
3.2.1 Create the Initial Resourced Schedule
3.2.2 Project Kickoff Meeting
3.2.3 Project Scoping
3.2.4 Project Scoping Meeting
3.2.5 Project Sponsor Approval of Project Plan
3.3 Chapter Summary
5- PROJECT CONSTRUCTION AND

CLOSEOUT.......................................24
5.0 Purpose
5.1 Managing Advertising
5.1.1 Addendum Submission
5.1.2 Pre-bid Meeting
5.1.3 Contract Bid Opening and Award
5.2 PM Responsibilities During Construction
5.3 Managing Construction
5.3.1 Pre-Construction Meeting
5.3.2 Partnering
5.3.3 Weekly Project Meetings
5.3.4 Change Orders
5.4 Construction Closeout
5.4.1 Substantial Completion
Last revised 06/30/2013

2
UDOT University | Program Manager Guide
5.4.2 Final Inspection and Final Inspection

5.5 Financial Closeout
5.5.1 Termination of Authority (Form R-77)
5.5.2 Utility Agreement Closure
5.5.3 Right of Way Closure
5.5.4 Consultant Contract Closure
5.5.5 Audit
5.5.6 Financial Closure
5.6 Chapter Summary
5.7 Resources
5.7.1 Helpful Links
5.7.2 Tools
5.7.3 Contacts
6- CONTRACT
ADMINISTRATION.....................31
6.0 Overview
6.0.1 Need for Contracting
6.0.2 Conflict of Interest
6.1 Contracting for Engineering Services
6.1.1 Contract Types
6.1.1.1 Project Specific Contract
6.1.1.2 Current Expense Contract
6.1.1.3 On Call Contract
6.1.2 Consultant Selection Methods
6.1.2.1 Work Task Orders
6.1.2.2 Direct Pool Select
6.1.2.3 Request for Pool Letter of
Qualifications (RPLOQ)
6.1.2.4 Streamlined RFQ
6.1.2.5 Request for Letters of Interest (RLOI)
6.1.2.6 Standard RFQ
6.1.2.7 Engineer of Record for Local
Governments
6.2 Third Party Contracts and Agreements
6.2.1 Utility Agreements
6.2.2 ROW Purchases
6.2.3 Federal Aide Agreements
6.3 Alternative Delivery Contracts
6.3.1 Design Build (DB)
6.3.2 Contract Manager/General Contractor
(CMGC)
6.3.3 Procurement Contracts
6.4 Construction Contracts
6.5 PM Responsibility in Contracting
6.5.1 Consultant Selection Method
6.5.2 Request Contract in Contract Management
System (CMS)
6.5.3 Select the Selection Team
6.5.4 Prepare Scope of Services and Schedule
6.5.5 Prepare Independent Cost Estimate (ICE)

6.5.6 Select Consultant
6.5.7 Negotiate Scope, Cost, and Schedule
6.5.8 Submit Project in CMS
6.5.9 Oversee Consultant Progress
6.5.10 Review and Approve Payment Requests
6.5.11 Contract Mods
6.5.12 Consultant Evaluation
6.5.13 Close Contract
6.6 Resources
6.6.1 Helpful Links
6.6.2 Tools
6.6.3 Contacts
7- MANAGING PROJECT RISK...........39

7.0 Chapter Purpose
7.1 Definitions
7.1.1 Flavors of Risk
7.1.2 Traditional Risk Management
7.1.2.1 Programmatic Risk
7.1.2.2 Project Level Risk
7.2 Project Level Risk Management
7.2.1 Who is Responsible for Risk Management?
7.2.2 When Should Risk Management Be
Implemented?
7.2.3 What is the Risk Management Process?
7.3 How to Use This Information
7.4 Chapter Summary
7.5 Resources
7.5.1 Helpful Links
7.5.2 Tools
7.5.3 Contacts
GLOSSARY............................................47
Key
Callout boxes can be found throughout

the guide to help organize information.
The following legend denotes what type
of information the callout boxes hold,
depending on the color of the header.
Background Information/Details
Definitions
Examples/Hints
Local Government
INTRODUCTION TO PROJECT MANAGEMENT GUIDE
1.0 OVERVIEW
UDOT Project Management was created as an
organizational tool in 1997 to build on UDOTs
commitment to strengthen the coordination and
delivery of our projects. The Project Managers
(PMs) role to lead a team of skilled technical experts
to meet a projects goals (scope, schedule, budget,
and quality) and objectives is important in todays
challenging transportation environment.
1.1 WHAT IS A PM?

A PM is the projects key regional leader who is familiar with the project needs and serves as
a single point of contact for stakeholder issues. The PM leads throughout the project life-cycle
(from concept through financial close-out), managing smooth transitions between team handoffs.
The PM operates in a matrix organizational structure that can easily adjust team staffing and
resources, as needed.
As the team leader, the PM is accountable for the planning, execution, monitoring, and closing
of a project. However, the PM role is larger than simply managing. The PM also serves as a
project coach, mentor, risk manager, and primary decision maker. The PM may also act as a crisis
manager, if unplanned high-risk events occur. A PM breathes life into a project, ensuring it has
the appropriate level of support and resources needed for a self-supporting, easily maintained,
quality project. The PM must ensure a project stands on its own merits and contributes to the
larger transportation system.
A PM may ask:
Does the project support UDOTs Strategic Goals?
Is it an asset to the surrounding communities and environment?
Does it increase safe and efficient travel, not only through its project limits but by how it
connects travelers with the transportation system?
Rather than hold project resources for its own expansion, does the project consider
efficiencies to benefit the whole program?
These are some of the high-level challenges a PM may have to deal with as they lead their team
of specialists through concept development, design, advertisement, and construction.
This leadership role also requires strong communication skills: the ability to ask penetrating
questions, detect unstated assumptions, resolve conflicts, and guide a team through unknown,
changing obstacles. While the structure of the project team can vary widely from project to project,
the one constant is the PMs role as the leader of the project team, regardless of their authority
over the team members.
5
Chapter 1
The responsibilities of a PM seem daunting. Fortunately, there are numerous resources to

turn to for guidance. Consultant Services, Central Construction, Central Project Management,
Program Managers, Functional Managers, Comptrollers, and Programming are ready to provide
assistance. The most valuable resources may be sitting near you: your fellow PMs and Region
PM Support Specialist.
A PMs job is like that of a skilled orchestra conductor who leads the musicians to produce the
character and tempo of the music. Conductors dont need to be able to play any instrument;
however, the conductor must understand the musical score and know how the instruments sound
when combined. From this high-level, the conductors job is to direct instrumentalists to achieve
a pleasing musical outcome.
Like a conductor, a PM manages a project
from a high-level. For example, to ensure
the quality of the project a PM does not need
to know the details of each technical areas
Quality Control and Quality Assurance (QC/
QA.) However, a skilled PM takes every
opportunity to remind team members that
each is responsible to know and certify the
QC/QA for their areas deliverables.
PARTICULAR FOCUS AREAS FOR

THIS GUIDE INCLUDE:
Clarifying the responsibilities of a

UDOT Project Manager throughout
each phase of the project life-cycle
Providing UDOT-specific guidance
Gathering communication and
leadership resources that focus on
UDOT leadership practices
1.2 HOW WILL THIS GUIDE

HELP?
The mastery of Project Management

requires continued learning and practice
similar to any other engineering or professional area of expertise. The main goal of this guide is to
introduce the principles of project management and provide resources that can help both new and
experienced PMs continue to build their skills, thus creating a consistent, statewide, high standard
of management. Functional Managers and Project Team members will also find value in this guide
to better understand their team role, along with the role of the PM.
There are many Project Management resources available online, such as the PMI (Project
Management Institute), which offers industry-recognized resources for project management. But
there are few resources available that relate more specifically to the transportation field. This
guide combines skill-building resources with transportation related resources.
1.3 HOW IS THIS GUIDE ORGANIZED?

The guide is organized by the project life-cycle workflow, with project management and business
system practices included in each section. The sections cover areas such as how to:
Initiate, plan and scope a project
Develop, negotiate, and administer contracts
Manage, adjust and execute your team plan
Lead a team of diverse technical specialists
A list of related resources, including helpful links, tools, relevant contacts, and business systems
are included at the end of each chapter.
HOW PROJECTS ARE CREATED
Projects happen when a

transportation need receives
funding.
~Unknown
2.0 PURPOSE
It is important for PMs and teams to know how projects are created and who is creating them.
It is also important to be familiar with the different types of project funding and know the unique
rules and limitations of each funding type. The following information will provide PMs with an
understanding of how projects receive their funding.
2.1 GROUPS THAT GENERATE PROJECTS
UDOT Program Managers

UDOT Portfolio Managers
Metropolitan Planning Organizations
Joint Highway Committee
Legislative Intent
PROGRAM MANAGER
ROLES AND RESPONSIBILITIES
2.1.1 UDOT PROGRAM MANAGERS
Responsible to Deliver Regions Program
Lead Region STIP Process

Each Region has a Program Manager who plans and
Supervise Region Project Managers
develops methods and procedures to implement their
Sponsor for Most Region Projects
region program. The program consists of all projects
Contact for UDOT Planning, MPOs, &
associated within the Region that stretch across
Local Government Coordination
all different types of funding and portfolios. They
coordinate program activities and manage personnel
responsible for Project Management functions. They are ultimately responsible for the programs
success. Each Program Manager reports directly to the Region Director.
2.1.2 UDOT PORTFOLIO MANAGERS

Portfolio Managers typically reside at UDOT Central and manage funding sources for specific
types of projects. UDOT Portfolios can create stand-alone projects, or can add resources to other
projects to complete a particular need. Portfolio projects are coordinated with Region Program
Managers and assigned to Region PMs. UDOTs Fund Fact Sheets identify the different funding
categories and portfolios available for projects. These fact sheets detail the program goals, recent
accomplishments, programming amounts, and contact information. A sample Fund Fact Sheet for
the New Traffic Signals Program is as follows:
Chapter 2
UDOT Fund Fact Sheet
2.1.3 METROPOLITAN PLANNING ORGANIZATIONS

A Metropolitan Planning Organization (MPO) is a federally-mandated and federally-funded
transportation policy-making organization made up of representatives from local and governmental
transportation authorities. MPOs are federally mandated for any urbanized area with a population
greater than 50,000. Federal funding for transportation projects and programs are channeled
through their planning process. The U.S. Congress created MPOs to ensure that existing and
future expenditures of Federal governmental funds for transportation is based on a continuing,
cooperative, and comprehensive planning process. Statewide and metropolitan transportation
planning processes are governed by federal law (23 U.S.C. 134135).
2.1.4 JOINT HIGHWAY COMMITTEE

The Joint Highway Committee administers several types of federal funds that are allocated to
Utah each year by Congress for use on transportation
facilities in rural and small urban areas throughout
the State. In addition to these funds, specific dollars
UTAH MPOS
are also set aside for bridges on the local system
in all areas of the State. In Utah, the Joint Highway
Committee (JHC) provides coordination and yearly
Wasatch Front Region Council (WFRC)
project recommendations to the Utah Transportation
Mountainland Association of
Governments (MAG)
Commission (UTC) for the use of these federal funds.
Dixie MPO
Cache MPO (CMPO)
2.2 DIFFERENT TYPES OF

PROJECT FUNDING
2.2.1 FEDERAL-AID FUNDING
Federal-Aid Highway Funds are authorized by Congress to assist States in providing for
construction, reconstruction, and improvement of highways and bridges on eligible federal-aid
highway routes, and for other special purpose programs and projects. Most federal-aid projects
8
require a funding match from either State or local government sources. Each funding category is
designated for certain types of projects and work. For example, National Highway Performance
Program funding is to be used only for projects on the National Highway
High
g wayy System.
Sy
ystem. FHWA has
prepared a Guide to Federal-Aid Programs and
MAJOR FEDERAL FUNDING
Projects to provide basic information concerning
PROJECT TYPES
the Federal-Aid Highway Program.
2.2.2 STATE FUNDING

State Funding is generated from state levied gas
NHPP National Highway Performance Program
tax, vehicle registration fees, auto related sales tax,
STP Surface Transportation Program
and the general fund. The gas tax provides UDOT
HSIP Highway Safety Improvement Program
with funding to meet the required match for federal CMAQ Congestion Mitigation/ Air Quality
Metropolitan Planning
aid projects and also provides funding for bridges,
FA Federal Aid for public lands roads
pavement preservation, and safety projects. The
TA Transportation Alternatives
Utah State Legislature also provides funding through
the Transportation Investment Fund (known as the
TIF) for projects that typically improve capacity. These funds are programmed each year by the
Utah Transportation Commission.
Some Projects have multiple funding sources. These can be a combination of both Federal and
State funding sources.
TIP
Its important to understand that federal funding on any

project requires that the entire project conform to federal
rules and regulations.
Local Government federalaid projects must meet the

same requirements as State
federal-aid projects.
2.3 PROCESS FOR CREATING PROJECTS

Every Project and Program must be approved by the Utah Transportation Commission (UTC)
for the State Transportation Improvement Program (STIP). A Project is an effort, having a defined
beginning and end, undertaken to meet unique transportation needs. Programs are approved
on the STIP as an allotment of money that is designated for a certain type of work. Projects are
then selected by a Program/Portfolio Manager based on criteria designated for that Program.
Members of the UTC are appointed by the Governor and serve as part of an independent advisory
committee. The group prioritizes and decides how funds are spent.
The STIP is a five-year plan of highway and transit projects for the State of Utah. The STIP is
maintained regularly and includes all transportation projects and programs on the state highway
system, as well as all federal aid projects on city and county highway systems. It also includes
projects in national parks, national forests, and Tribal lands.
Program Managers, Portfolio Managers, MPOs, and the JHC all go through a yearly process to
prioritize and recommend projects to be placed on the STIP, following UTC approval.
2.4 CHAPTER SUMMARY

Projects are created through the collaboration of UDOT Program Managers, UDOT Portfolio
Managers, MPOs, and the JHC. UDOT projects can be funded by a variety of one or more fund
types. It is important to know the specific type of funding a project receives and the specific
Chapter 2
conditions that dictate the type of work performed with those

funds. Once projects and programs are created and funding
sources are identified, they are submitted for approval to the
UTC for placement on the STIP. The STIP is UDOTs official
work plan for the development of projects and programs
through concept, environmental studies, right of way
acquisition, design, and construction for all sources of funds.
2.5 RESOURCES
2.5.1 HELPFUL LINKS
2.5.2 TOOLS
2.5.3 CONTACT
2.5.4 BUSINESS SYSTEMS
Guide to Federal Aid Projects and

Programs
Transportation Alternative Program
State Transportation Improvement Program
Federal-aid Essentials for Local Public
Agencies
Wasatch Front Regional Council

Mountainland Association of Governments
Cache MPO
Dixie MPO
UDOT Commission
UDOT Fund Fact Sheets
Fund Fact Sheets

UDOT Data Portal
UDOT Project Finance Guide
UDOT Finance Director

UDOT STIP Coordinator
Region Program Managers
UDOT Local Govt Programs Engineer

UDOT Safety Programs Engineer
Traffic and Safety Design Engineer
ePM
Project Scheduling
eGIS
ProjectWise
CADD
PDBS
10
PLANNING THE PROJECT
The more you plan, the luckier

you get.
~Unknown
3.0 PURPOSE
UDOTS STRATEGIC GOALS
A successful project starts with the development of a

project plan. This plan will promote efficiency, quality,
and direction in the completion of the project. The
plan is created through establishing project context
with the Definition Team and refined with the Delivery
Team at the initiation of the project. These teams are
explained later in this chapter.
Preserve Infrastructure
Optimize Mobility
Zero Fatalities
Strengthen the Economy
3.1 ESTABLISHING PROJECT CONTEXT

The Project Manager (PM) and Definition Team are responsible to define and document the
projects purpose, goals and scope. These will align with UDOTs Strategic Goals.
SOURCES OF PROJECT
INFORMATION
Planning / Corridor Studies

Previous Project Plan Sets
Concept Report
EA or EIS Document
Preliminary Cost Estimates
Project Sponsor
Portfolio Managers
Program Manager
Region Director
Traffic Engineer
Pavement Engineer
Local Governments
MPOs (Metropolitan Planning Organizations)
3.1.1 REVIEW PROJECT INFORMATION

The PM is assigned to a project by the Program
Manager. The Program Manager will provide the
PM with as much project information as possible,
including a contact for the sponsor of the project.
Upon project commencement, the PM collects and
reviews the existing Project Information to gain
a basic understanding of the project purpose and
to identify any gaps in knowledge. This includes
a preliminary understanding of the purpose and
context of the project, in addition to the anticipated
scope, schedule, and project value (budget).
The amount of available project information varies
greatly, based on multiple factors. These factors
can include funding sources, project types, political
issues, and region preference.
11
Chapter 3
Project Sponsor
The Senior Leader or Portfolio Manager:
Defines the project objectives and
expected outcomes
Champions the project
Obtains project funds
Supports the PM with the project
Scope, Schedule, and Budget
Supports the Project Manager
resolving escalated issues
3.1.2 PROJECT SPONSOR

EXPECTATIONS
The PM reviews the existing project information with
the Project Sponsor(s) and identifies any gaps in
knowledge. The Project Sponsor should consider and
address two questions:
Who is the most affected by the project?
Who is the most able to contribute to the project?
The PM confirms support of the project, and secures
the expected project completion date(s) and project
value with the Sponsor.
3.1.3 SELECT THE DEFINITION TEAM

The PM, Functional Managers, and Sponsor select the
appropriate members for the Definition Team. These
team members should represent the needs of all project
stakeholders. The teams purpose is to complete a draft
Project Definition Document (PDD). The Program Manager
is not typically on the Definition Team, but should be included
if project circumstances require their participation.
Proposed Advertise/
Proposed Due Date
The PA/PD Date is established by
the Program or Portfolio Manager,
prior to project funding, and is
used to communicate project
delivery expectations.
The size and composition of the Definition Team depends on the project characteristics. It should
consist of two to seven team members, with the main criteria for selection based upon the major
components of the project. Definition Team members are responsible to represent their area of
expertise in developing the strategy to deliver the project. A Definition Team member may also be
part of the Project Delivery Team.
Federal Aid Local Government projects will have at least one representative from the local entity
and/or MPO on the Definition Team. On UDOT projects
with major impacts to local governments, the PM may
Example Definition Teams consider including a representative from the local entity
Pavement Preservation Project
on the Definition Team.
Project Manager
Region Pavement Engineer
New Traffic Signal Project
Project Manager
Region Traffic Engineer
Central Traffic Engineer
Preconstruction Engineer
Capacity Project with New Bridge
Project Manager
UDOT Structures Engineer
Region Utility Coordinator
Central ROW Representative
Preconstruction Engineer
Maintenance
This process is scalable. This means that the Definition

Teams effort could be a brief discussion for simple
projects, or expand to a series of meetings for more
complex projects.
If a project has a recently completed detailed concept
report or major environmental document (EA or EIS), the
Definition Teams work will likely be minimal. They will be
responsible to complete the draft PDD based on the project
Scope and Budget, as detailed in the concept documents
approved by the Utah Transportation Commission.
If the concept report or environmental document is nonexistent or dated, then the Definition Team will develop
or update the project concept report in conjunction with
12
completing the draft PDD. This may require additional

time, resources, and field investigations as needed.
PROJECT DEFINITION DOCUMENT
Create Objective Statement

Develop Goals and Metrics for success
Develop Project Scope Statements
Project Delivery Method
Identify Major Potential Risks
Preliminary Project Estimate
Project Schedule
Project Objective Statement
3.1.4 ESTABLISH THE PROJECT

FRAMEWORK
The Definition Teams purpose is to create the draft
PDD. This document defines the project for the
Project Delivery Team.
The PDD is created and stored in the Project
Management folder in ProjectWise, UDOTs document
manatement system. The PDD consists of several
parts, as detailed below.
3.1.4.1 PROJECT OBJECTIVE STATEMENT
The Project Objective Statement is a brief highReconstruct and widen (to 12 lanes)
level summary of the major work elements to be
I-15 from 11400 South Interchange to
accomplished, the expected delivery date and project
Bangerter Highway by December 31st
2014 for $160 Million.
value. The summary should be less than 25 words
and serve to focus the Definition and Project Delivery
Teams throughout the development and execution of the
Project Goals and Metrics
project.
3.1.4.2 PROJECT GOALS

The Project Goals and associated metrics are developed
by the Definition Team. Project Goals are high level
statements that declare what the project is trying to achieve.
Project Goals should be measurable in the before and
after conditions. A metric is a quantifiable measurement of
a projects performance. Metrics are to be project specific.
If the project is supporting programmatic goals, metrics
are not required. The PM is responsible to collect, store,
and document the Project Goals and metrics.
Project Scope
Statements
Overlay Project
Overlay road with 2 to 3 inches of
HMA in travel lanes and shoulders
Replace all safety signs on
project limits
Mill and fill existing asphalt in
Provo River bridge
Do not install, replace, or improve
guardrail
Do not replace drainage pipes
Capacity Project
Goal: Improve Level of Service on
corridor from E to D
Metric: Use traffic data prior to and
after project completion
Safety Spot Improvement Project
Goal: Reduce crashes at intersection
by 50%.
Metric: Use Central Traffic and Safety
data to compare crashes before and
after the project completion
3.1.4.3 PROJECT
SCOPE STATEMENTS
Project Scope Statements define the work that needs to be
accomplished to satisfy the Project Goals. These statements
document the major components of the project. The team
should also document what is not included in the project.
The is not statements are important because they help
to reduce scope creep during delivery of the project. The
Project Delivery Team will use these statements to better
understand their role and effort on the project.
UDOTs Practical Design initiative eliminates over designing
improvements by aiming to achieve, but not exceed,
the project objectives. The documented project scope
13
statements define the project. Any additional

features outside of the scope statements should
not be included in the project.
Constraint Matrix
Most
3.1.4.4 CONSTRAINT MATRIX
Scope
The Constraint Matrix tool defines the relative

flexibility of Scope, Schedule and Budget for the
project. This simple tool can assist the Project
Delivery Team in making project decisions when
project constraints are in conflict.
Schedule
Moderate
Least
X
X
Budget
3.1.4.5 PROJECT DELIVERY METHOD
Major Project Risks

Risk to Schedule
Timely Right of Way (ROW)
acquisition
Presence of historic site
endangered species or
wetlands
Risk to Schedule and Budget
Unexplored utility impacts
Local community request for
facility upgrades
The Project Delivery Method selection is based on the type,

details and needs of the project. The default delivery method
is the traditional Design-Bid-Build (DBB), but Design-Build
(DB), Construction Manager / General Contractor (CMGC),
or procurement can be selected. The UDOT Technical team
approves the use of DB and CMGC for projects. Each method
has its advantages and disadvantages. To better understand
the delivery methods, refer to Chapter 6 - Alternative Delivery
Contracts in this UDOT PM Guide.
3.1.4.6 POTENTIAL PROJECT RISKS
The Definition Team identifies Major Potential Project Risks

which could impact the project schedule or budget. The identified
risks should be documented in the Project Risk Management Plan, as discussed in Chapter 7 of
this PM Guide. The Definition Team does not need to identify risk management strategies for the
identified risks because the Project Delivery Team will expand upon, add to, and manage the
project risks throughout project delivery.
3.1.4.7 REVIEW AND UPDATE PROJECT ESTIMATE

The Definition Team reviews the current Engineers Estimate. If an Engineers Estimate does not
exist, it may be a good idea to generate one using the Concept Cost Estimate Form. This estimate
is updated based on the scope developed by team and
is broken out to at least the level of detail of the ePM 505
screen. The Project Manager inputs this estimate into
Engineers Estimate CATEGORIES
the ePM 505 Screen. For project budget guidance, see
the Project Financial Management Guide.
3.1.4.8 SELECT PROJECT DELIVERY TEAM

The Definition Team evaluates all the project features
and selects the necessary disciplines to form the project
delivery team.
Project team selection is often driven by the Sponsors
proposed date. Other deciding factors for the
composition of the Project Delivery Team are UDOT
core competency, availability, experience, and unique
project characteristics.
The PM and the Functional Managers determine which
14
ePM 505 screen

Environmental
Concept Development (CD)
Preconstruction Engineering (PE)
Right of Way
Utilities
Construction
Construction Engineering (CE)
Incentives
Miscellaneous
Contingency
individuals will work on the project based on their availability and skill set, relative to the project
needs.
The Project Delivery Team can consist solely of UDOT employees, or both UDOT and consultant
team members. If a consultant is needed on the Project Delivery Team, then the PM should
initiate consultant selection and contracting as soon as possible. The PM can then use the Project
Scope Statements to help develop the Scope of Services for consultant selection and hiring. The
consultant should be under contract prior to the Kickoff meeting. More information on consultant
procurement can be found in Chapter 6 Contract Administration of this UDOT PM Guide.
Local Government (LG) projects are always designed by consultants and a LG representative
assists with the consultant selection and project management.
3.1.5 PROJECT SPONSOR SCOPE & APPROACH VALIDATION

The final step of establishing the Project Context is for the PM to review the PDD with the Project
Sponsor. This completes the Definition Teams efforts on this project. However, the PM can
reconvene the Definition Team if major project scope issues arise during delivery of the project.
3.2 INITIATE THE PROJECT

3.2.1 CREATE THE INITIAL RESOURCED
SCHEDULE
Prior to the Kickoff Meeting,

the Delivery Team Should:
Prior to Project Kickoff, the PM creates the draft

resource loaded schedule based on the Definition
Teams resource recommendations. This schedule is
created using UDOTs MS Project schedule program
to select the required scope activities.
Review the PDD from their technical

perspective
Review and question all Scope Statements
to determine gaps and inconsistencies
Review the Risk Register
Transportation project management requires the

application of many specialty skills, knowledge, tools, and techniques. These projects are complex
and require coordination between interrelated activities to achieve the project goal. If the PM is
inexperienced in any area they need to contact experienced specialists to help them define the
project scope. Meaningful communication between disciplines is a critical leadership component
of project management.
UDOT created Project Delivery Network (PDN) and similar project templates to help the PM set
up and manage a resourced project schedule. The network templates are located in UDOTs MS
Project in business system tool, used to manage project delivery. MS Project pushes information
to UDOTs ePM system, enabling sharing of data with other divisions, stakeholders, and the
public.
3.2.2 PROJECT KICKOFF MEETING

The purpose of the Kickoff Meeting is for the project team members to obtain a clear understanding
of the project, the associated scope, and their individual roles in delivering the project. The PM
will use the draft or working PDD, the initial resourced schedule, and other essential project
information to familiarize the Delivery Team with the project.
The Kickoff Meeting also sets the tone and tempo for the Delivery Team, and provides the first
opportunity to clearly identify roles, establish expectations, and coordinate milestones. For
additional ideas about how to begin to build a successful high-performing team, refer to Key 1
15
Chapter 3
Building and Uniting the Team in the Team UDOT: Team Building Guide.
Most projects should have a Kickoff Meeting but some simple projects can be commenced via
email or other coordination. Any consultant working on the design phase of the project is selected
and under contract prior to project Kickoff.
3.2.3 PROJECT SCOPING

Between the Kickoff Meeting and the Scoping Meeting, the team members will determine their
effort (hours) and the duration (days) for all the activities assigned to them in the initial resourced
schedule. Team Members will investigate and prove the assumptions in the Project Scope
Statements prior to determining effort and duration of their activities. This can include field visits
and investigation. Any discrepancies, issues or gaps between the PDD and their investigation
should be promptly brought to the PM for resolution. The PM may need to check back with the
Definition Team, and possibly the sponsor, to resolve any new major issues.
After the Project Delivery Team members input the hours and durations for activities, the PM will
review and compare the resulting schedule completion date with the Sponsors submit/due date.
If the resulting delivery date is beyond the Sponsors date, the PM will reconcile the schedule with
the Project Delivery Team and Sponsor. If the Sponsors PA/PD Date is not flexible, then the PM
and Project Delivery Team could look for activities that might be shortened by using additional
resources and effort. If the Sponsors date is flexible, confirm with the Sponsor that the Project
Delivery Teams schedule is acceptable. In some cases, a combination of moving both dates will
occur. The PM is responsible to ensure that the Sponsor agrees with the Project Delivery Teams
schedule before moving forward with the project.
Consultant designed projects hold the Kickoff Meeting after the effort and duration were negotiated
in executing the contract. If significant changes arise in the scope or schedule at the Kickoff
Meeting, the PM should immediately address these with the consultant as it relates to the contract.
Baseline Schedule
3.2.4 PROJECT SCOPING MEETING
The PM schedules and conducts the Scoping Meeting with

the Project Delivery Team in order to finalize the project
plan. This plan consists of the project scope, schedule, and
estimate. Any changes to the scope since the Kickoff Meeting should be discussed and agreed
upon.
A fixed project schedule used to
measure future project progress.
The reconciled project schedule

should be reviewed and baselined.
The Project Delivery Team should
walk through the initial resourced
schedule to identify the critical path and
to recognize all vital steps, milestones,
and risks to the schedule. The team
members need to understand the
interlinking of all the project activities
and their respective responsibility to
the project schedule. All parties need
to agree, or commit to the dates in this
schedule. This reconciled schedule
PROJECT RISK REGISTER
The Risk Register is the central repository for

all the identified risks and should include:
Risk Description
Risk Probability
Impact (scope/schedule or both)
Counter-measures
Risk Owner
16
becomes the baseline schedule for the project.

Special care must be taken during this planning process to communicate and coordinate with all
project stakeholders which include but are not limited to Region Maintenance, Region Traffic, and
the Traffic Operations Center.
Scope changes after the scoping meeting should be infrequent and discouraged. Changes may
occur due to unforeseen conditions, inaccurate assumptions or senior leader request.
The final Scoping Team task is to update or create the UDOT Qualitative Risk Worksheet.
More information on this worksheet and risk management can be found in Chapter 7 Managing
Project Risk of this UDOT PM Guide.
3.2.5 PROJECT SPONSOR APPROVAL OF PROJECT PLAN

The PM will review the projects baselined schedule and budget with the Project Sponsor. The PM
will also recommend to the Program Manager the approval of the PDD document, which includes
the baseline management reserve and committed advertising date. Upon review and approval by
the Program Manager, the Region Director signs final approval and the Program Manager then
moves the project from Scoping to Active Status in ePM.
3.3 CHAPTER SUMMARY

The Definition Team develops the project framework and the Delivery Team completes the plan
details within that framework. By completing this process, all team members should understand
the purpose and scope of the project, and the scope will be in line with the Project Value (budget).
The team will have an initial, vetted schedule outlining the path to successful completion. If a
major scope change occurs later, the PM should revisit this process to properly define the new
scope and get input and buy-in from all affected stakeholders.
A well-developed project plan starts the project in the right direction. This process can be scaleddown for simple projects but the PM should not excessively diminish the process. If proper
planning does not occur, the PM will spend time putting out fires rather than managing, and the
project will have a greater chance of being late and over-budget.
3.4 RESOURCES
Project Definition Document
Engineers Estimate
UDOT Project Financial Management Guide

UDOT Team Building Guide
3.4.1 HELPFUL LINKS

3.4.2 TOOLS
Engineers Estimating Tool
Kick Off Meeting Agenda
UDOT Qualitative Risk Worksheet

Sign In Roster
3.4.3 CONTACTS
Region Program Managers
Innovative Contracting & Project Controls
Manager

ProjectWise
ePM
UDOT MS Project
17
Chapter 4
MANAGE PROJECT EXECUTION
The Pertinent Question is NOT how

to do things right but how to find the
right things to do, and to concentrate
resources and efforts on them
~ Peter Drucker
4.0 PURPOSE
The PMs role changes when the project transitions from the Definition process to the Delivery
process. During the Definition process, the PM actively leads the Definition and Project Team to
develop the Project Plan. Once developed, approved, and initiated, the PMs role is to oversee
and manage the execution of the Project Plan and adopt the teams efforts as changes occur.
It is important that the PM maintain the proper leadership level as the project plan is carried
out. Some PMs micro-manage the project team members by inserting themselves into their
processes and work. Other PMs know little about the current project issues and they abdicate
their management responsibilities to Delivery Team members. The art of Project Management
is to know where the appropriate leadership level is for each specific project and Delivery Team.
This level will vary from project to project and is dependent on factors, such as team member
experience, project risk, and project type.
The PM manages the execution of the project Scope,
Schedule, Budget, and Team throughout the project
execution phase using the management principle of
MITAR: Monitor, Investigate, Take Action, Report.
As work progresses and changes occur, the PM
investigates the root causes for the change from
the baseline, takes action to resolve the changed
condition, then reports the actions taken to those
affected by the change.
4.1 MANAGING THE SCOPE

Project scope is tracked throughout the delivery phase
of the project. The scope of the project is refined
during the project Definition phase. Comprehensive
work by the Definition Team enables effective and
efficient scope management during execution of the
Project Plan.
18
MITAR
Monitor
Track and compare project progress to
the baselined Project Plan
Investigate
Explore the causes and possible
resolutions to changes in Scope,
Schedule, Budget, and Team
Take Action
Manage and record the changes, issues,
and risks that emerge as the project
progresses
Report
Communicate actual performance,
progress, variances, and actions taken to
appropriate members of the organization
4.1.1 MONITOR
Scope MITAR
Monitor
During a weekly team meeting, the PM
discovers that the designer has added
the replacement of all the small drainage
culverts that cross the road. This was not in
the original scope of the project.
Investigate
The PM questions the designer and finds
that the Maintenance Engineer requested
that he add these culvert replacements
to the project. The PM follows up with the
Maintenance Engineer and finds a recent
inspection revealed that most of the culverts
were partially collapsed.
Take Action
The PM meets with the Designer, the
Maintenance Engineer and region
management to decide if this additional
scope should be added to the project. If so,
the PM will have to determine if the project
has sufficient funds or if additional funds
are required.
Report
The PM communicates to all team members
the actions taken and consequences of this
resolved issue.
At a minimum, at each milestone meeting the

Project Manager and Team should compare the
project scope defined in the Project Definition
Document to the scope detailed in the project
plans. Further scope refinement is expected during
project delivery, but special care should be taken to
ensure that additional scope (scope creep) is not
added to the project.
4.1.2 INVESTIGATE
The PM and Delivery Team need to understand
the source of the scope change issues.
These can include: unforeseen conditions,
stakeholder requests, work to be accomplished,
misunderstandings, success criteria, rumors,
changes in quality, and perceptions.
4.1.3 TAKE ACTION
Once the root cause(s) for the scope changes are

identified, the PM and Delivery Team brainstorm
possible solutions to resolve the scope change
issues. Multiple solutions should be developed
with their associated strengths and weaknesses,
and impacts to schedule and budget. The PM, with
input from key project team members, decides on
project scope modifications. The PM then notifies
the Program Manager of the potential scope change to decide next steps, including a possible
request to the Utah Transportation Commission for a project scope modification.
4.1.4 REPORT
Communicate any changes in project scope to all
team members following decisions made by Region
Management or the Utah Transportation Commission.
Scope Creep
Uncontrolled additions in a projects
scope. This occurs when the scope
of a project is not properly defined,
documented, or communicated.
4.2 MANAGING THE SCHEDULE

The PM and Delivery Team members use MS Project to track and manage the progress of work
and use of resources against the baseline Project Plan, and to report schedule status and progress
to the team and management. This tracking and reporting process focuses the team on getting
work done within the negotiated durations and personnel effort.
4.2.1 MONITOR
The Critical Path should be monitored with high rigor. Any changes to Activity durations on the
Critical Path will affect the finish date of the project. Analyze activities not on the Critical Path to
determine if delay would put them on the Critical Path. The Project Team reviews and discusses
the project schedule especially at each Milestone Meeting where any variance from the baseline
schedule is identified and noted.
19
Chapter 4
4.2.2 INVESTIGATE
Schedule MITAR
Monitor
During a review of the project schedule, the PM
discovers that the utility coordinator has extended
completion of a critical path activity by 3 weeks.
Investigate
The PM talks with the utility coordinator and finds
that they have been assigned to a large project
and can only work half-time on the other region
projects. This will delay all of their project work.
Take Action
The PM meets with the utility coordinator and
Region Management to brainstorm solutions. They
decide to hire a consultant to work for the utility
coordinator to help relieve the utility coordinators
workload.
Report
The PM reports the resolution to the Delivery
Team.
If Activity durations start to slip and exceed

the baseline, then the PM and Delivery Team
investigate the root causes. Some of the
sources of delay could be due to inaccurate
original estimates, overscheduled resources,
or lack of effort made by Project Team
members. It is important to understand the true
root cause(s) of the schedule delay in order to
resolve the problem.
4.2.3 TAKE ACTION

Once the root cause(s) for the schedule delay
are identified, the Project Team and Manager
brainstorm possible solutions. These solutions
can include, but are not limited to, acquiring
additional resources, improving coordination
between team members, or extending the
project schedule.
4.2.4 REPORT
Critical Path
Actions taken to resolve schedule issues are

reported to the Project Delivery Team and
Region Management. Any major schedule
modifications that change the committed dates
are documented,reviewed and approved by
the Program Manager.
The longest sequence of activities in the Project

Plan. It must be completed within the planned
amount of time for the project to finish on
schedule.
4.3 MANAGING THE BUDGET

During the pre-construction phase, the PM is responsible for tracking the total project budget. Also
known as the Engineers Estimate, the total project budget combines the design resource budget
and the construction cost estimate. Every effort should be taken to ensure that the total project
budget doesnt exceed the Project Value. These costs are documented and tracked through the
ePM 505 screen.
The construction cost estimate is integrally tied to scope and is continually addressed and verified
throughout the pre-construction phase. For the majority of projects, the construction cost estimate
is much larger than the design resource budget. It is important to understand that an appropriate
amount of design effort can notably decrease the project construction costs.
An under-designed project can increase project risk in both schedule and budget. This increased
risk can result in construction change orders for impacts to utilities, right of way, and other project
features. Conversely, an over-designed project can often waste resources and time with
excessive detail and specifications.
For studies, environmental documents, and other non-construction projects, the design budget
is the only budget that is tracked. For guidance, see the Project Financial Management Guide.
20
4.3.1 MONITOR
The PM regularly compares actual versus negotiated
pre-construction costs. These costs are typically
broken down by scheduled Activity, which helps to
easily identify exceeded Activities.
At a minimum, the PM and Delivery Team develop,
update and review the project construction estimate
at every Milestone meeting. If the construction
estimate has increased and exceeds the construction
budget, the team then identifies which items have
caused the increase.
4.3.2 INVESTIGATE
TOTAL PROJECT BUDGET

ePM 505 SCREEN
Design Resource Budget
Environmental
Conceptual Design (CD)
Preliminary Engineering (PE)
Right of Way
Construction Resource Estimate
Construction
Construction Engineering (CE)
Utilities
Miscellaneous (agreements & other
costs associated with construction)
If pre-construction costs for individual activities

exceed the negotiated cost, the PM will investigate
the basis for the exceeded costs. Some of the
causes could be unforeseen conditions, inaccurate
estimates, scope creep, and poor team member effort. If portions of the project are externally
(consultant) performed, then the PM requests written justification for the exceeded cost for those
individual activities to provide support documentation for possible future contract modification
negotiations.
When the project construction estimate increases beyond the construction budget, then the PM and
Team investigates the root cause for this increase.
Some of the causes could be inaccurate prices
Budget MITAR
or quantities in previous estimates, unforeseen
Monitor
The lead designer sends the PM the latest
conditions, and scope creep.
construction estimate based on the Plan in
Hand design package. The PM notices that
the Utility relocation estimate has increased
significantly. This has caused the Engineers
Estimate to be greater than the Project Value.
Investigate
The PM talks to the lead designer. They state
that recent utility information indicates a
large, high-pressure gas line is too shallow
and has to be lowered.
Take Action
The PM holds a brainstorming session with
the appropriate team members to develop
and select a shallower pavement design that
avoids the gas line. This alternative design
costs more than the original design, but is
much less than relocating the gas line. The
new Engineers Estimate is now less than the
Project Value.
Report
The PM will report this new pavement design
solution to the Project Team and region
management.
4.3.3 TAKE ACTION

The PM and Delivery Team brainstorms resolutions
to both the exceeded pre-construction costs
and the exceeded project construction estimate.
When pre-construction costs are exceeded, the
primary thing to do is to reassess activities that
have been, or could be, exceeded. After analysis,
these activities are validated and the baseline is
adjusted accordingly.
When the construction estimate exceeds the
construction budget, the PM and Team can cut
project scope, request additional funds from the
project sponsor, or combine the two options.
Apply the Constraint Matrix to make the initial
decision and include the Project Sponsor and
Program Manager in the discussion. Cuts that
impact project customers and stakeholders may
21
Chapter 4
be necessary if additional project funding is not possible. The PM then notifies the Program
Manager of the potential budget impacts so it can be decided if a budget adjustment request
should be made to the Utah Transportation Commission.
4.3.4 REPORT
Document all report actions taken to resolve budget issues and share reports with the Project
Team.
4.4 MANAGING THE TEAM

Technical and management skills are not enough to ensure a projects success. The PM has a
continuous leadership role across all stages of the project. It is important to monitor team participation
in order to ensure open communications and
to maintain a positive, success-oriented work
Team MITAR
environment.
The PM should get to know the team members
to better understand what motivates their
performance. Learning and understanding each
team members strengths and weaknesses helps
to assess and manage project staffing. A wellmanaged team results in a higher level of trust,
productivity, positive team attitude, and the ability
to resolve issues in a creative, fact-based manner.
An important tool available to the PM is the Team
UDOT: Team Building Guide. The PM should
use this guide often during team and Milestone
meetings throughout each project phase.
Its important that the PM effectively manage and
unite the Project Team because dysfunction can
cause significant schedule delay and mediocre
project quality.
4.4.1 MONITOR
Its important that the PM continually monitors the
Delivery Team. Some common concerns for a PM
to consider while monitoring the Delivery Team
include changes in team membership, resource
over-allocation, effectiveness of Project Team
communication, and team member participation
and motivation.
4.4.2 INVESTIGATE
If the PM identifies issues and problems within
the Project Team, they should further investigate
the root causes for these problems. The PM
and Functional Manager should review the team
members resource schedule to decide if they are
22
Monitor
While discussing your project with
the Design Leader, she states that the
Structures Lead will not return her calls
or emails about some key elevation
information that is needed to complete the
Plan-in-Hand review package.
Investigate
The PM promptly sets up a meeting with the
structures lead. The Structures Lead states
that he was extremely offended by some
comments made by the Design Leader at
the last meeting. He does not think the plan
set needs the requested information and
does not want to talk to the Design Leader,
so he has ignored her information requests.
Take Action
The PM sets up a meeting with the Design
Leader and the structures lead. The PM
initiates the meeting by reviewing the
Developing Trust section in the Team
UDOT: Team Building Guide. The PM should
make certain that the atmosphere in this
meeting is non-threatening and open. It is
important to elicit solutions for this issue
from the two contending team members.
The Team members resolve this conflict by
agreeing to certain rules of communication.
They also agree to treat each other
professionally and respectfully.
Report
This resolution should be reported to
leadership and those team members
affected by this conflict. There is no need
to inform other team members who are
unaware of this conflict.
overscheduled. The PM and Functional Manager should also understand the team members
experience and skill sets to make sure they align with their role on the project. The PM should
recognize and identify personality differences within the team, particularly if those differences are
causing conflict. If appropriate, the PM should reassess the Teams communication plan to make
sure it is efficient and appropriate for the project.
4.4.3 TAKE ACTION

Once the root cause(s) for team problems are identified, the Project Team and Manager should
brainstorm possible solutions. These solutions can include modifying or clarifying Team Member
roles and responsibilities, adjusting the teams communication plan, coaching or mentoring
inexperienced members, acquiring additional team members, or replacing current team members.
4.4.4 REPORT
Actions taken to resolve Team conflict or communication issues should be shared with both core
and extended team members, as well as management. This allows the opportunity to support and
strengthen the project team.
4.5 CHAPTER SUMMARY

The Project Managers responsibility during delivery of the project is to effectively lead and manage
the Project Team. Using the principle of MITAR, the PM and team will monitor the Project Scope,
Schedule, Budget, and Team, then act when issues arise that change the baseline. Those actions
are to Monitor, Investigate, Take Action, and Report. The PM should understand and perform their
role as project leader to set the tempo for the project, and help lead the team quickly through any
conflicts or unexpected changes.
4.6 RESOURCES
4.6.1 HELPFUL LINKS
UDOT Project Financial Management Guide
4.6.2 TOOLS
Team Meeting Agenda
Milestone Meeting Agenda
4.6.3 CONTACTS
ePM
UDOT MS Project
23
Chapter 5
PROJECT CONSTRUCTION AND CLOSEOUT
If there is a 50% chance of

something going wrong, then 9
times out of 10 it will.
~ Unknown
5.0 CHAPTER PURPOSE

It is important to understand the roles and
responsibilities of the Project Manager and the
Resident Engineer during advertising, construction,
construction closeout, and financial closeout.
5.1 MANAGING ADVERTISING

This stage encompasses all activities from project
advertisement up to the Notice to Proceed (NTP).
Advertising includes addendum submission, the
Pre-bid meeting, contract bid opening, contract
award and NTP.
CONSTRUCTION STAGES
Advertising
Project advertisement up to Notice to Proceed
Construction
Notice to Proceed up to Substantial Completion
Construction Closeout
Substantial Completion through Contract Completion
Financial Closeout
Termination of Authority through Financial Closure
5.1.1 ADDENDUM SUBMISSION

Any changes to the project plans and/or documents required during the advertisement period will
be made through an Addendum submission. It is common for errors and omissions in the project
documents to be identified by contractors during the advertisement period. The PM is responsible
to coordinate with the RE to initiate and manage the addendum submission process.
UDOTs Addendum Manual describes the process and required information to modify the project
documents during advertisement.
5.1.2 PRE-BID MEETING

Project Pre-bid meetings are recommended if there are unique project features. The PM schedules
the meeting and, together with the RE, organize the agenda items. The invitees should include
the project designer and any other key members of the project team. The PM is responsible to
communicate unique project issues with the RE, prior to the Pre-bid Meeting. The PM and RE
conduct the meeting and convey all pertinent information regarding the project to the contractors
present. In order to ensure consistency in responding to contractor questions, the PM and RE
will collaborate on any responses they provide, then document who asked the question and who
24
provided the answer. If the PM or RE is contacted by a contractor, or any other construction related
personnel, with questions concerning a project that has already gone to advertise, the PM and
RE will coordinate the answer and document the response. The RE will provide administrative
resources to document attendance and meeting minutes. FHWA has issued a Pre-bid Meeting
Guidance Document that gives further direction on Pre-bid meetings.
5.1.3 CONTRACT BID OPENING AND AWARD

The Central Construction Advertisement Division is responsible for public advertising and bidletting of UDOT construction contracts, conducted through the Project Development Business
System (PDBS). Their process is designed to ensure a fair and consistent bid process. The bid
items and Engineers Estimate are entered into PDBS by the design engineer. The contractors
submit their bids through the system and upon bid opening, their bids are then compared against
one another, as well as the Engineers
Pre-construction Conference
Estimate.
If the lowest responsive bid is equal to or
less than 110% of the Engineers Estimate,
the PM is allowed to review the bids. The
PM and RE will review the bid abstract for
potential areas of risk before award of the
contract. For guidance on analyzing bids,
see FHWAs Bid Analysis and Award of
Contract Core Curriculum Guide. Areas of
risk could include unbalanced bids, large
differences in specific bid items that reflect
apparent errors in the advertising package,
etc. The PM will then coordinate with the
Region Program Manager to decide whether
or not to award a contract to the apparent
low bidder.
Discussion Items
Specifications
Subcontractors
Materials
Waste Areas
Major Work Operations
Insurance
Goals and Action Plans
Schedule
Utilities/RR Schedules
Prosecution & Progress
Affirmative Action Plan
DBE Participation
Communication
Suppliers
Quarries
Surveying
Contract Administration
Partnering
Traffic Control/Signing
Right of Way
Environmental
Consideration
Issues/Conflict
Escalation Plan
EEO and Labor
Compliance
Partnering Maintenance
If the lowest responsive bid is greater than 110% of the Engineers Estimate, the PM will follow the
UDOT 08B-12 policy for contract award guidance.
UDOT Central Construction maintains the Project Management Forms and Project Advertising
Assistance required during the Advertising Stage.
5.2 PM RESPONSIBILITIES DURING CONSTRUCTION

The PMs role during construction is to monitor and ensure that the project scope, contract
schedule, and budget do not unreasonably vary from the projects contracted intent. The PM is
also responsible to see that all Right of Way acquisitions, utility and third party commitments are
fully satisfied and completed on schedule.
Once the contract is awarded to the
apparent low bidder, the PM adjusts the
ePM 505 screen amounts in accordance
with the Project Budget Recovery
Process. This step is essential to
recovering unused project funds for reprogramming to new projects.
The day-to-day management of the project during

construction,
including
construction
schedule
monitoring, resides with the Resident Engineer (RE).
The preconstruction plans and documents detail
the intent and scope of the project. The contractor
executes and the RE inspects and verifies that the
25
Chapter 5
project is built in accordance with those contract documents. The District Engineer (DE) has
oversight responsibility for change orders, contractor claims, and FHWA stewardship issues.
During construction, all communication with contractors, sub contractors, and suppliers is routed
through the project RE. This single point of contact ensures that all answers to project questions
are consistent. The RE and PM will discuss all significant issues and responses, prior to contractor
communication. Significant issues may include costly change orders, schedule increases, or
additional impact to highway users, residents, and businesses.
If the project requires consultant Construction Engineering or consultant Public Involvement during
the construction stage, select and contract these services prior to the Plans, Specifications, &
Estimate (PS&E) review meeting. If it is determined that such services are necessary at the time
of the Plan in Hand review meeting, its beneficial to have CE or PI under contract in time to attend
the meeting whenever a project is complicated or controversial.
The Construction Manual of Instruction defines and
establishes the responsibilities of a UDOT RE, DE,
and field personnel regarding the administration of
contract provisions.
Alternative Delivery Methods

Design Build
UDOT develops documents that identify the
end result product. Prospective bidders will
develop design proposals based on these
documents.
Project management roles on projects using

alternate contracting methods, such as Design Build
CMGC
or CMGC, will be different than described in this
A modified Design Build process in which
chapter and vary greatly based on circumstances of
the owner holds the contract for both the
the project. Contact the UDOT Project Development
consultant designer and the contractor.
Divisions Innovative Contracting Engineer for
additional information, resources, and help with innovative contracting methods.
5.3 MANAGING CONSTRUCTION PHASE

This stage starts at the NTP and ends at the notice of Physical Completion. It encompasses
the pre-construction conference, partnering meetings, weekly project meetings, and the change
orders process.
5.3.1 PRE-CONSTRUCTION CONFERENCE

The PM will attend a Pre-construction Conference. The purpose of a Pre-construction Conference
is to discuss the contractors plans and schedule, and to coordinate construction activities with
others impacted by their work. This meeting is the initial coordination with the Contractors team,
subcontractors, utilities and any other stakeholders, such as a local city, who need to be aware
of the Construction plans and schedule. This
conference should include a discussion of
the Prosecution and Progress Specification
(555) and any other unique or special details
of the project. This meeting is arranged and
conducted by the Construction RE, who will
utilitize UDOTs Preconstruction Partnering
Meeting Agenda. The PMs role at the meeting
is to ensure that all commitments made during
design are communicated to the contractor
and to help resolve any issues that arise.
26
5.3.2 PARTNERING
Partnering with the contractor is a
valuable standard practice for all
UDOT projects. Partnering occurs
when two or more organizations
make long-term commitments to
achieve mutual goals. Effective
partnering requires trust, open
communication, understanding and
teamwork among all participants.
It is recommended that all UDOT
PMs take Partnering Trainings 1,
2, and 3. For additional information
about Partnering, please refer to the
UDOT and AGC Partnering Field
Guide and Partnering Team Weekly
Agenda.
A PM supports the RE in resolving
project issues by staying sufficiently
involved to ensure that constructive
relationships are being maintained
among team members. If conflicts
arise see the TeamUDOT Team
Building Guide for conflict resolution
ideas.
5.3.3 WEEKLY PROJECT

MEETINGS
Project coordination meetings are held weekly on most construction projects to discuss the
project issues, schedules, and the upcoming activities. These meetings are scheduled jointly by
the RE and contractor and can include subcontractors, utility personnel, and any other relevant
participants of the project. It is recommended that the PM attend as often as possible, especially
during critical transitions and events, such as the beginning of paving. Higher risk projects may
require more frequent attendance. Attending the weekly project coordination meetings helps the
PM maintain a connection to the project and better understand project problems and issues. If a
PM is not able to attend at least one of these meetings in a given month, the PM should contact
the RE to discuss the progress of the project and any other relevant project information.
5.3.4 CHANGE ORDERS

The RE coordinates with the PM on all change orders. The RE has authority to approve change
orders of less than $25,000, as long as the Project Value is not exceeded. The PM will help the
RE ensure change orders do not exceed the Project Value. The Active Project Summary Report
(ePM 506) helps determine if there are sufficient funds to cover proposed change orders. Change
orders greater than $25,000 require additional approvals. This is explained in UDOTs policy on
Change Orders (UDOT 08B-10), which gives detailed information on change order policies and
procedures. If an item overruns the original contract amount, the RE initiates a Construction
Overrun Funding Need (COFN) and sends the form to the PM for approval. Detailed instructions
for completing the COFN can be found on the UDOT COFN Form C118.
27
Chapter 5
5.4 MANAGING POST-CONSTRUCTION

The Post Construction stage begins with the Notice of Substantial Completion, followed by Final
Inspection/Final Acceptance, and ends when contractor is issued the Construction Final Letter.
The PM will assist the RE in the construction
closeout stage. Timely project closeout allows
SUBSTANTIAL COMPLETION CRITERIA
for re-programming of excess project funds.
5.4.1 SUBSTANTIAL COMPLETION
Vehicles and pedestrians have full unrestricted

use of the facility
All safety features are installed and fully functional
Only minor incidental work remains for physical
completion
The Contractor and Engineer mutually agree that
the remaining work will not impact trail, sidewalk,
or roadway disruptions or closures
Substantial Completion of the construction

project initiates the Post Construction Phase.
The RE designates this status through
the Project Acceptance Report after he
has inspected the project to verify that the
Substantial Completion criteria are met.
Construction time charges to the contract end
at Substantial Completion.
To facilitate gathering all the appropriate closeout documents,

a post-construction closeout meeting is recommended. This
meeting is scheduled by the RE and would include the PM,
Region Contract Specialist (RCS), and the contractor. This
meeting creates the opportunity for the RE & RCS to clearly
communicate any missing documentation that needs to be
completed for Construction Closeout. If the project construction
is especially problematic, the PM should recommend holding
a post-construction closeout meeting.
5.4.2 FINAL INSPECTION AND FINAL

ACCEPTANCE
Upon notice of substantial

completion the Project Manager
confirms any under-runs on
the project and estimates
any remaining contingency
money for the Step 2 Budget
Recovery Process. Any excess
funds that will not be expended
are transferred back into the
appropriate funding area for
efficient use on other projects.
The PM will participate in the final inspection and communicate any concerns to the RE. This
inspection is set up by the RE and includes all relevant project stakeholders. The contractor
is responsible to immediately resolve and repair any unsatisfactory work. Upon correction or
resolution of unsatisfactory work, the RE notifies the contractor in writing on the date of final
acceptance.
The RE completes all the necessary construction paperwork and collects all required documents
from the Contractor. He then submits all appropriate documents to the Region Contract Specialist
(RCS). The RCS reviews and quality checks all submitted documents, verifying that the construction
contract is ready for closure. The RCS then submits all the appropriate documentation to Central
Construction. Central Construction issues the Construction Final Letter once they verify
completeness of the construction documentation
and distribution of the contractors final payment.
Financial Closeout Acronyms
5.5 MANAGING FINANCIAL

CLOSEOUT
ePM electronic Program Management
This stage starts after the issuance of the

Construction Final Letter and ends when all
payments are made, issues are resolved, funds are
reconciled, and the PIN status is closed in ePM.
28
FINET Utah State Government finance

and accounting system
FMIS Fiscal Management Information
System
5.5.1 TERMINATION OF AUTHORITY (FORM R-77)

Form R-77 terminates spending authority for a project or program. The completed Form R-77 is
submitted to the UDOT Comptrollers Office to initiate financial close out.
For construction projects, Program Finance initiates Form R-77 when they receive the Construction
Final Letter from Central Construction. The Project Closeout Network is set-up by the PM after
Substantial Completion.
Non-construction projects (i.e. procurement projects, any type of study, etc.) are closed when
the PM and Project Sponsor conclude that the project is complete. At this point, the PM sets-up
the Project Closeout Network and emails Program Finance to initiate Form R-77, Termination of
Authority.
5.5.2 UTILITY AGREEMENT CLOSURE

The RE manages, tracks, and recommends payment of utility and railroad agreements during
construction. After utility construction is complete, the RE works with the Utilities and Railroads
Coordinator in the Region to reconcile the agreements and final payments. Upon receiving final
utility payment approval and closeout documents, Central Construction will close the utility and
railroads agreements.
5.5.3 RIGHT OF WAY CLOSURE

After Substantial Completion, the PM meets with
the Central Right of Way lead and Comptroller to
verify that all ROW processes are completed. If
all parcels are not acquired and/or ROW activities
are not completed, they will develop a strategy
plan to complete the remaining ROW activities.
5.5.4 CONSULTANT CONTRACT

CLOSURE
The PM closes all consultant contracts as soon
as their work is complete, as well as verifies
that the Consultant has performed all tasks
described by the contract. The PM will evaluate
and score the Consultant on their performance to execute the contract, using the Consultant
Project Evaluation Form. The PM then completes and signs the evaluation form, followed by the
Consultants review and signature. The evaluation is submitted with the final invoice.
5.5.5 AUDIT
Utility and consultant contracts are subject to internal UDOT audit. Audits are triggered by dollar
amount thresholds, identified in the UDOT Project AUDIT Cost Estimates sheet. Upon completion
of final utility and railroad payments, Central Construction forwards the contracts for audit. If a
Consultant contract warrants an audit, the Comptrollers office forwards the contract to the UDOT
Auditor.
5.5.6 FINANCIAL CLOSURE

When the utility agreements, ROW acquisition, consultant contracts, and audits are closed, the
project can be financially closed. These activities are performed by both Program Finance and
the Comptrollers.
The Comptrollers reconciles FINET, closes Local Government agreements, and prepares and
29
Chapter 5
distributes the Final Voucher (FV). Program Finance reconciles the final project funding and
closes the business systems (FINET, ePM, FMIS).
5.6 CHAPTER SUMMARY

A Project Managers role shifts as the project progresses. During design and advertisement, the PM
is responsible for day-to-day management of a project. During construction, the PM should allow
the RE to direct day-to-day construction activities but stay sufficiently involved during construction
to ensure that the project scope, schedule, and budget does not vary unreasonably, and that all
ROW acquisitions and other commitments are fully satisfied and completed on schedule.
A PM can ensure the success of the project by:
Effectively communicating unique project details along with other commitments to the RE
Attending Weekly Project Meetings as often as possible and contacting the RE once a month
to discuss the project
Keeping aware of any escalating issues, or loss of trust, between the contractor and RE field
crew
Thoroughly reviewing all change orders with the RE in a timely fashion to ensure the
project budget is not exceeded
Setting-up the Project Closeout Network and assisting the RE during the Construction Closeout
stage
Frequent and open communication between the PM and RE is essential for successful project
construction and closeout. Well-defined and agreed upon roles for the PM and RE, in advance,
will reduce conflicts and common problems that arise from shared project responsibilities.
5.7 RESOURCES
5.7.1 HELPFUL LINKS
Construction Manual of Instruction
Innovative Contracting
Addendum Manual: Pre-bid Guidance
Document
UDOT Policy 08-12
FHWA Pre-bid Meeting Guidance Document
Project Budget Recovery Guidance

UDOT Partnering Field Guide
UDOT Policy 08B-10
Project Closeout Network
5.7.2 TOOLS
Partnering Team Weekly Agenda
Construction Overrun Funding Need (COFN)
Consultant Project Evaluation Form
UDOT Construction Assignment Order

Engineer Estimate Setup PDBS Request
Preconstruction Partnering Meeting Agenda
5.7.3 CONTACTS
Innovative Contracting and Project Controls Manager
Region District Engineer
UDOT Advertising

ePM
PDBS
30
CONTRACT ADMINISTRATION
6.0 OVERVIEW
UDOT contracting
methods
encourage
innovation and speed, and seek a fair and
equitable balance for everyone, including the
consultant, the contractor, and the general
public.
Consultants provide a valuable service to UDOT
project teams, supplementing internal staff
resources and bringing specialty experts as
you need them. Other benefits are a scalable workforce, bringing experience to an inexperienced
team, and sharing innovations learned from work on other projects. All PMs will eventually hire
consultants to perform work for their projects. Services could range from small tasks to complete
design. The PM is responsible to direct this work through executed contracts.
This chapter will focus on the contract administration responsibilities of the PM. The Consultant
Services Manual of Instruction provides
further assistance for contract procurement.
The primary reason for contracting is the limited
resources available within UDOT.
6.0.1 NEED FOR CONTRACTING
If the PM and Functional Managers decide

that sufficient in-house staff is unavailable to meet the schedule, it becomes necessary to
hire consultants. Other reasons to contract include unavailable expertise within UDOT; a local
government projects; third party agreements, such as ROW and utilities; and highly sensitive or
high profile projects.
6.0.2 CONFLICT OF INTEREST

There are situations where conflicts of interest could occur for both UDOT employees and
consultants. Examples may include, among others, a consultant working as UDOT PM, consultants
working on environmental documents, or consultants working as designer and construction
management of the same project.
TIP
The Consultant Services Manual of Instructions Conflict of Interest section should be reviewed
prior to every project.
6.1 CONTRACTING FOR ENGINEERING SERVICES

Contract management requires high-level skills, good judgment, and independent decisionmaking that represent the UDOT organization, its goals, and ethics. The foundation of selecting
by qualifications is the negotiation of a fair and reasonable price, with the firm most qualified
31
Chapter 6
to minimize design errors and reduce rework. A UDOT PM must always maintain high ethical
standards and confidentiality throughout the advertisement, selection, negotiation, and execution
of the contract. (See UDOT Ethics Policy for more information and clarification of responsibilities.)
6.1.1 CONTRACT TYPES

The three typical types of UDOT engineering services contracts are detailed below. The most
frequently used is a contract tied to a specific project. An On Call contract is established with
a firm for specific services or functions. A Current Expense contract is used when the funding
originates from a UDOT Divisions current expense budget to provide staff augmentation. Other
contracts, such as those with utility companies and local governments, are discussed later in this
chapter.
6.1.1.1 PROJECT SPECIFIC CONTRACT

This is the most common contract a PM will encounter. The scope identifies a specific project to
accomplish. EXAMPLE: Design services to widen a state route.
6.1.1.2 CURRENT EXPENSE CONTRACT

Current Expense funding is normal operating funds programmed to UDOT by the Legislature.
Due to UDOT staffing limitations, consultants are often contracted to perform in a staff support
role to a Division. Individuals may co-locate with UDOT staff on these contracts. EXAMPLE:
Contracting with private staff to aide in consultant contract preparation.
6.1.1.3 ON CALL CONTRACT

On Call contracts are an agreement between UDOT and pre-selected consultant for the purpose
of augmenting UDOT staff. These contracts have a one year duration for a maximum amount
of $200,000. The PM may issue a Work Task Order (WTO) to the consultant for a maximum of
$40,000 per project and consultant. As these amounts do occasionally change, refer to UDOTs
Consultant Services website. EXAMPLE: Executing a WTO for the drainage design on a project
designed by UDOT staff.
Engineering and engineering related services are always selected based on

the competency, qualifications, and experience of the consultant, and not on
price. The exceptions are PI and CMGC contracts with contractors.
6.1.2 CONSULTANT SELECTION METHODS

Coordinate with the Program and Functional Managers to determine if staff resources are available,
or whether a consultant will be needed. They will also help you decide what selection method is
most appropriate. Critical considerations in method selection will be the anticipated dollar amount
of the contract, along with the complexity of the project. Some of the selection methods count
against the consultants established UDOT pool limits, so the PM must verify the consultants have
UDOT pool dollars available.
6.1.2.1 WORK TASK ORDERS

Due to quick time frame in procuring the consultant, this is an excellent option for a PM if the
expected contract amount is less than $40,000 and the consultant has a current On Call Contract
for the required discipline, as well as a sufficient remaining pool amount. Select this method only
if the services are simple and will complete in a short time frame.
6.1.2.2 DIRECT POOL SELECT

For a project with an initial contract amount of $120,000 or less, and the flexibility to modify the
32
contract up to $150,000, the PM may select a consultant that has available pool funding directly
from the qualified pool lists. The contract is then negotiated and executed. Special caution must
be exercised because the $150,000 cap is a hard limit and cannot be exceeded. Select this
method for straight forward tasks that slightly exceed the amount for WTOs, or when the desired
consultant does not have an On Call contract in place.
6.1.2.3 REQUEST FOR POOL LETTER OF QUALIFICATIONS (RPLOQ)

When the estimated contract amount is greater than $120,000 but less than $450,000, the PM
can select a firm through the RPLOQ method. The PM will select a minimum of five consultants,
then send each of them the project information, goals, scope of work, and submission deadline.
The consultants then prepare a two-page letter detailing their approach to the project, as well a
one page experience chart and proposed staffing plan. The project team evaluates and selects
the consultant. Again the PM must be certain the ultimate contract cost will be less than $600,000,
including contract modifications. This limit cannot be exceeded. The PM is also responsible to
ensure each proposer has sufficient UDOT pool fund balances. The benefits of this selection
method include the ability to short list several firms and make a quick selection.
6.1.2.4 STREAMLINED RFQ

The PM can select a streamlined RFQ to select a consultant. This process requires administration
by Consultant Services. Streamlined RFQs are normally used for projects that are not overly
complex and have an estimated contract amount over $450,000. The PM will form a Selection
Team to assist in the preparation of the RFQ and Independent Cost Estimate (ICE). Consultants
submit their Statements of Qualifications for evaluation, ranking, and selection by the Selection
Team. Typically, consultant interviews are not conducted unless there is a tie for first in the overall
33
Chapter 6
SOQ ranking.
6.1.2.5 REQUEST FOR LETTERS OF INTEREST (RLOI)

This process requires the administration by Consultant Services. The PM recommends a selection
team of technical experts to the Consultant Services Manager for approval. This team prepares the
short-listing criteria, the interview format, and ICE. Consultants response to the advertised RLOI
includes a two page letter, a one page experience chart, and a staffing plan. The Selection Team
reviews the submitted LOIs and short lists the most qualified consultants. The PM and Selection
Team choose a consultant based on the scoring in the mandatory interview. The RLOI method is
best for projects where the team decides they would like to quickly short-list consultants and ask
in-depth questions in an interview. This method is used for contracts greater than $450,000.
6.1.2.6 STANDARD RFQ

Administration by Consultant Services is also required for a Standard RFQ. For a complex project
with a Consultant contract of greater than $450,000, the RFQ selection method provides the
PM with the most information and flexibility. It also takes the longest amount of time, up to 3
months, to have an executed contract. The PM assembles a Selection Team to assist in preparing
the RFQ and ICE. The Selection Team helps the PM refine the scope of services, decide the
format and number of pages for the SOQ proposals, and decide on the weighting for scores. The
Selection Team reviews and ranks the submitted SOQs. Typically interviews are then held for
the top ranked teams. The successful consultant is selected based on combined selection by
consent scoring of the SOQ and interview.
6.1.2.7 ENGINEER OF RECORD FOR LOCAL GOVERNMENTS

The UDOT Engineer of Record (EOR) Selection Process, accomplished through the EOR RFQ
selection method, provides for a Local Government (LG) to establish a relationship with one or
more engineering firms to provide professional services for federal aid transportation projects.
The PM must certify that the LG has selected an EOR through an approved selection method
administered by Consultant Services. (See Local Government EOR Guidelines)
The LG is not required to utilize the EOR for all projects and may select a consultant through
previously mentioned UDOT selection methods. If the LG decides not to use the EOR, the PM will
guide the LG through the appropriate UDOT selection method.
6.2 THIRD PARTY CONTRACTS AND AGREEMENTS

The PM will regularly deal with third party contracts and
agreements. Since the PM is responsible for the project budget
and schedule, it is important to monitor these closely. These could
include reimbursing for utility relocations/betterments, ROW
purchase, and Federal Aid Agreements with local governments.
Timely execution of these agreements are critical to limit their
associated risks. These can greatly impact the construction
schedule and increase costs, as well as extend impacts to
highway users, businesses, and residents.
6.2.1 UTILITY AGREEMENTS

The PM and Region Utility Coordinator work closely to identify
the potential conflicts of each project. Early coordination with
the affected companies reduce the amount of risk to schedule
34
and budget. Agreements with each utility company are necessary for cost reimbursement. Utility
companies will often seek to improve their facilities during the project through a betterment.
These improvements are not reimbursable. Accurate cost estimates and schedules need to be
established and monitored.
6.2.2 ROW PURCHASES

ROW acquisition presents one of the greatest risks
to project schedule and budget. The PM and Region
ROW Coordinator will work with the design team to
identify potential impacts to property owners. The
UDOT Project Design Network provides a detailed time
line of milestones necessary to meeting the acquisition
schedule.
6.2.3 FEDERAL AID AGREEMENTS

UDOT is the steward for LGs using federal funds. In
order to use these funds, a cooperative agreement is
necessary. This obligates the municipality to provide a small percentage of local funds to gain
access to the federal funds, as well as makes them responsible for any additional project costs.
The PM may execute several agreements for each project; including PE, CE, construction, etc.
LG Federal Funding Agreements can also be used to share project costs between a municipality
and UDOT.
6.3 ALTERNATIVE DELIVERY CONTRACTS

UDOT is a national leader in executing innovative contracting. Many PMs will have the opportunity
to utilize Design Build, Contract Manager/General Contractor, and procurement contracts. It is
important to contact the UDOTs Innovative Contracting Division (for DB and CMGC) or UDOT
Procurement Division immediately after selecting one of these methods. They will provide
guidance throughout the process.
6.3.1 DESIGN BUILD (DB)

DB is a method where the construction contractor and the designer partner and bid to design
and construct a project, with both processes taking place simultaneously. The advantages of
this method include speed of completion and low cost. The PM will work closely with Central
Construction to develop documents that identify the results of an end product, as well as establish
the design criteria and a preliminary design. This will provide information on the projects unknown
factors, such as geotechnical data, thereby minimizing the contractors risk. Overall, DB Provides
the contractor maximum flexibility for innovation.
6.3.2 CONTRACT MANAGER/GENERAL CONTRACTOR (CMGC)

CMGC is a value-based approach that factors in price, schedule, risk elements, and a project
cost model. UDOT hires a contractor during the design process to provide constructability input,
including scheduling, pricing, and phasing. The PM coordinates with Central Construction during
the selection, which will be based upon qualifications, experience, or best value. An independent
cost estimator analyzes the proposal to ensure the price is fair, then UDOT executes a contract to
build the project. UDOT retains the option to hire the Construction Manager to perform the work,
or select another contractor after design completion.
35
Chapter 6
6.3.3 PROCUREMENT CONTRACTS

The PM can use existing executed contracts with contractors to perform certain types of work.
UDOTs Procurement Services manages this program.
6.4 CONSTRUCTION CONTRACTS

The PMs responsibilities continue after the design project is awarded to a contractor. The RE will
handle the day-to day-field work. The RE is also authorized to make decisions to keep the project
on track. The PM will be consulted on decisions affecting scope, schedule, and budget. Change
orders require the PMs approval. (See Change Order Approval Authority Amounts)
6.5 PM RESPONSIBILITY IN CONTRACTING

The PM is the leader of the project team. With this leadership role comes the responsibility to
initiate and perform various tasks to ensure the contracted services meet the project goals. It
is extremely important the PM demonstrates high ethical principles throughout the contracting
process.
6.5.1 CONSULTANT SELECTION METHOD

Although some previously discussed methods are limited by the dollar amount of the contract, the
PM has the flexibility to choose the best fit for their project. The construction contracting method
(DB, CMGC, etc) must be considered at this time.
6.5.2 REQUESTINT A CONTRACT IN CMS

The PM will submit contract requests through UDOTs CMS. The ePM business system module
streamlines and tracks the contracting process between UDOT and Consultant staff.
6.5.3 SELECT THE SELECTION TEAM

The PM assembles and recommends the consultant selection team if the contracting method
requires one. The PM works with the Program Manager to assign the selection team. This team
recommendation is approved by the Consultant Services Manager.
6.5.4 PREPARE SCOPE OF SERVICES AND SCHEDULE

The PM prepares the scope and schedule to perform the work, relying on technical experts in
unfamiliar area disciplines, such as environmental or geotechnical. A well thought out scope
will limit the amount of contract modifications later in the project. The scope will be submitted
to Consultant Services to prepare the contract advertisement. Now is the time to recommend
the contract fee type, which is typically a cost plus fixed fee, unit price, or lump sum. The PM
works with the Selection Team and Consultant Services to determine the criteria and weighting
36
to evaluate each consultants proposal. The criteria should align with the projects goals. For
example, if the project is very unique and controversial, the highest weighting may be assigned
to similar project experience.
6.5.5 PREPARE INDEPENDENT COST ESTIMATE (ICE)

The PM uses support from Functional Managers to prepare an
estimated cost for the requested services. This is vital to help
negotiate the contract once the selection is made.
6.5.6 SELECT CONSULTANT

The PM and Selection Team will use the developed criteria
identified in the contracting method to select the consultant.
This process is overseen by Consultant Services.
6.5.7 NEGOTIATE SCOPE, COST AND

SCHEDULE
The PM, with assistance from Consultant Services or technical specialists (if needed), negotiates
the schedule and cost, including consultants profit, to perform the work. Any scope questions are
clarified prior to negotiation.
Prior to negotiation, the UDOT PM sets up the project schedule in MS Project and assigns the
consultant tasks. The consultant then enters durations and the preliminary schedule is established
for the contract.
6.5.8 SUBMIT PROJECT IN CMS

The PM submits the approved scope, schedule, and budget to Consultant Services through CMS
for contract preparation.
6.5.9 OVERSEE CONSULTANT PROGRESS

The PM monitors the consultants progress as it
relates to scope, schedule, budget, and quality.
When issues arise, it is the responsibility of
the PM to immediately address them with the
consultant.
6.5.10 REVIEW AND APPROVE

PAYMENT REQUESTS
The PM reviews each invoice to ensure the
payment request corresponds to the services
in the contract. Any questions should be
immediately raised with the consultant. It is also
important that these are reviewed and approved
in a timely fashion. The Comptrollers Offices
goal is to complete payment of all invoices
within 2 working days.
6.5.11 CONTRACT MODS

The PM is responsible to negotiate all contract modifications. Using the MITAR principles outlined
in Chapter 4 of this manual, the PM can control the amount of contract modifications. Controlling
the scope and immediately addressing issues as they arise will limit the amount of modifications.
MITAR will also help provide the proper documentation to prepare a modification, if it becomes
37
Chapter 6
necessary. Contract modifications may include added or modified scope that increase the work
and cost, or a simple no-cost time extension. The PM must ensure available project funds exist
to cover any cost increases.
6.5.12 CONSULTANT EVALUATION

When the project is complete, the consultant will submit a final invoice. The PM will complete
a consultant evaluation (See Consultant Evaluation Form) based on the contract performance.
A face-to-face conversation is the best way to explain the results of the evaluation. Evaluations
should always be fair and unbiased. They provide an opportunity to review successes and failures,
identify things to do differently next time, and offer constructive criticism.
6.5.13 CLOSE CONTRACT

After the final payment is made and consultant evaluation is complete, the PM must close the
contract. The quicker this happens, the less likely inaccurate charges are to occur.
6.6 RESOURCES
6.6.1 HELPFUL LINKS
Change Order Approval Authority Amounts

Approved Procurement Contractors
UDOT Project Design Network
Consultant Services Manual of Instruction

UDOT Ethics Slides
Consultant Services Website
Local Government EOR Guidelines
6.6.2 TOOLS
Federal Aid Agreements (most used)
Consultant Evaluation Form
Conflict of Interest and Confidentiality Form

Environmental Study Conflict of Interest
Disclosure Statement
6.6.3 CONTACTS
Innovative Contracting and Project Controls
Manager
UDOT Procurement
Consultant Services
Region Program Manager
Region Functional Managers

ePM
UDOT MS Project
ProjectWise
38
MANAGING PROJECT RISK
Remember, Contractors dont

take risks, they price them.
~ Unknown
Risk
7.0 CHAPTER PURPOSE

This chapter serves as an introduction to Risk
Management, as practiced at UDOT. It is not
intended to be all encompassing. For additional
information please contact the Deputy Engineer for
Preconstruction.
Risk is the realization of an outcome other

than the expected outcome. Outcomes
that are better than the expected are
referred to as Opportunities, while
outcomes worse than the expected are
labeled Threats.
PROJECT LEVEL RISK MANAGEMENT
7.1 DEFINITIONS
7.1.1 FLAVORS OF RISK
To better understand the types of risks that UDOT
faces and who is responsible for managing them,
we have divided them into three broad categories:
programmatic, formal, and project-level.
7.1.2 TRADITIONAL RISK

MANAGEMENT
These issues can have a direct effect on individual
projects. They may include the requirement to
use OCIP (Owner Controlled Insurance Program),
which will necessitate different specifications
and estimates, different bonding requirements
depending on the type of work, extra vigilance during
construction for contractors with poor safety records,
etc. If the Project Team does not coordinate with the
Risk Program Manager at appropriate times, delays
and unforeseen costs may result. Every project that
advertises requires a Risk Assessment Checklist be
prepared and submitted to the UDOT Risk Manager,
who will then determine what levels of insurance
and bonding are required for the project. This must
be completed before the project is submitted for
advertising.
39
The purpose of Project Level Risk

Management is to minimize the likelihood
that a project will be negatively impacted
by Threats and to take maximum
advantage of Opportunities. This is
accomplished by identifying potential
risks to a project and assigning staff to
manage those risks.
TRADITIONAL RISK MANAGEMENT
This area is overseen by the Departments

Risk Manager and includes items such as:
OSHA
Work Place Safety
Claims
Project Insurance and Bonding
Chapter 7
7.1.2.1 PROGRAMMATIC RISK

These risk areas are managed by the Departments
Director of Policy and Legislative Services, the
Director of Communications, and Program Managers.
Project Managers also play an important role in
managing this risk on their project through the Public
Involvement process. It is important that the Project
Team coordinates these efforts with the relevant
Regional Communications Coordinator (RCM).
The Department has developed a Project Outreach
Planner to help RCMs and PMs develop an effective
Public Involvement effort for their project.
PROGRAMMATIC RISK
This area encompasses many areas that are

not usually considered in traditional Risk
Management. These include:
Department Funding Levels
Legislative actions that impact the Department
Legislative relations
Reputation/Community Relations
7.1.2.2 PROJECT LEVEL RISK

The Department has had staff assigned to Traditional
Risk Management for a very long time. It is well integrated into the Departments processes and
work flows. Likewise, Programmatic Risk Management is a major focus of many people within the
Department who have been very successful in this area. Formal Project Level Risk Management
is relatively new to the Department. The remainder of this chapter will focus on this aspect of Risk
Management.
PROJECT LEVEL RISK
These risks are best managed by

the PM and Project Team Members,
because of their direct project
affects:
Scope
Schedule
Budget
Quality
COST-BASED RISK ANALYSIS
In this process, risks are quantified

by their potential cost to the project
in terms of dollars and time.
7.2 PROJECT LEVEL RISK

MANAGEMENT
Project Level Risk Management
refers to the identification and
management of risks for a specific
project.
Every project UDOT develops

should incorporate some
form of Risk Management.
The process that UDOT has elected to use is a cost based risk
analysis. In this process risks are quantified by their potential
cost to the project in terms of dollars and time. Time, of course,
can also be assigned a dollar value. By quantifying risks using
a common value, risks can be compared relative to each other
allowing the largest potential risks to be identified. This helps the
project team focus their efforts where they will have the biggest
effect.
7.2.1 WHO IS RESPONSIBLE FOR RISK

MANAGEMENT?
In general, the PM is responsible to ensure that Risk Analyses
are performed for every project at the appropriate time(s).
Effective Risk Management, however, is truly a team effort. A
broad cross-section of functional areas should be present at the
Risk Workshop.
On simple projects, the Project Manager may elect to lead the Risk Workshop themselves, or
they may ask the Design Lead or RE to lead it. On more complex projects, outside help should be
brought in to assist. This may be a Consultant or a Central resource. See section 7.5 for available
resources.
40
One of the benefits of a cost based risk

analysis is the ability to predict the potential
cost of a project. If the analysis is done while
there is still time to adjust the Project Value
it will maximize the benefits of this process.
7.2.2 WHEN SHOULD RISK

MANAGEMENT BE IMPLEMENTED?
Risk Management should begin as soon as
possible on each project. Ideally it would begin in
the Concept Phase or, for larger projects, in the
Environmental Phase.
7.2.3 WHAT IS THE RISK MANAGEMENT PROCESS?

Uncertainties are the greatest at the projects beginning. As the project progresses, more and
more information is known and the uncertainties are reduced. However, the only time that we
truly know the actual cost of a project is after construction is complete and all the bills are paid.
This could be years after the project began (See Figure 7.1). In this figure, the total project cost
is divided into three categories: the costs that we can actually quantify at any point in time; the
costs that we know we are going to incur, but which we cannot yet quantify; and those costs that
we do not yet recognize.
Traditionally we have developed the Engineers Estimate by being conservative in estimating
those items that we can quantify either by inflating the quantity of those items, or by inflating
the estimated cost or, usually, both. To that we add a contingency to account for the items that
we cannot quantify and to cover the unrecognized costs (Risks). The contingency is usually a
percentage of the known costs. This is represented in Figure 7.1 as the red lines.
The Project Level Risk Management process attempts to develop a more realistic estimate by
removing the intentional overestimates of the known items, providing an allowance for those
items that cannot be quantified, and developing an estimate of the potential costs of risks based
on a thorough understanding of the projects specific risks.
To help Project Managers decide what form of Risk Management to use, we have developed
a decision tree as shown in Figure 7.2. Given the scope of the project, the current phase of
development, and the anticipated cost, the tool will suggest which of three Risk Management
tools to use.
The tools that UDOT has elected to
use are based on tools developed by
Washington State DOT (WSDOT). The
first tool is the Cost Estimate Validation
Process (CEVP). It allows for an
unlimited number of risk items to be
tracked and uses very sophisticated
modeling methods. It requires the use
of a consultant to run the models.
CRA stands for Cost Risk Analysis
which is a simplified form of CEVP.
CRA uses a much simpler computer
model for the analysis and can be run
by UDOT or consultant staff. It is not as
sophisticated as CEVP, but is usually
well suited for Medium sized projects.
FIGURE 7.1
CRAVE (Cost Risk Analysis with Value
41
Chapter 7
Engineering) is a process whereby a risk study (either CRA or

CEVP) is performed and the identified risks are the basis for
a Value Engineering (VE) study. This allows the VE study to
be focused on the areas of the project that have the greatest
uncertainty. CRAVE fulfills the Federal requirements for VE.
CEVP is a very rigorous

process that is best suited for
large to mega-sized projects.
CEVP and CRA are both probability based risk estimating tools. The basic process is the same
for both tools but the CEVP tool allows a much more sophisticated model. Both tools require
the same input; namely, the current estimate and schedule for the project with all contingency,
Project Management Decision Tree
FIGURE 7.2
42
allowances, and risks removed. A Risk Assessment Team is assembled and can include members
of the project team and possibly outside experts, depending on the project needs. The team will
hold a workshop to brainstorm potential risks for the project and assign a probability of occurrence,
as well as the range of potential outcomes if the risk does
Value Engineering
occur.
Value Engineering is required on all
The result of the workshop is a Risk Registry, which is

federally-funded projects with a total
project budget of $45M or more. The
entered into a computer model that uses the Monte
only exception is for Design Build.
Carlo method to develop the range of potential costs and
schedules for the project. The output of the Monte Carlo
model can be plotted in what is known as an S-Curve. S-Curves are developed for both cost
and schedule and show the probability of delivering the project at any given cost or date (See
Figure 7.3). In addition, the risk factors which contribute the greatest uncertainty to the cost
and/or schedule are identified and plotted on a Tornado Diagram (See Figure 7.4). These two
graphs provide a quick and powerful tool for the Project Manager and the Project Team to use for
identifying risks and assigning them appropriately.
The third Risk Management tool, and the one most often used, is a simpler spreadsheet that
simply allows the project team to identify risk and rank them qualitatively. The Qualitative Risk
Worksheet is a tool that can be used by anyone and it is recommended for simple projects.
FIGURE 7.3
43
Chapter 7
FIGURE 7.4
7.3 HOW TO USE THIS INFORMATION

Regardless of the tool used to identify risk, the real value of the process lies in developing mitigation
strategies for the risks identified. By developing a plan to mitigate the risks and then tracking
the teams progress, the likelihood of avoiding threats and taking advantage of opportunities
increases greatly. Risk Management is an ongoing process. There should be a standing item on
the regular team meeting agenda to review the current state of risk items.
Each of the tools discussed above includes the ability to identify and track response strategies
for each identified risk. This typically consists of choosing a response approach, assigning
responsibility to an individual, and then tracking progress. Additionally, costs associated with the
response should be estimated.
Each of the risks identified by the team should be assigned to an individual who will be responsible
to implement the response strategy. In the Mitigate example below, this would probably be
assigned to the roadway designer. They would be responsible to meet with Maintenance,
incorporate the changes in the plans, develop the bid items, and write a special provision.
At each team meeting the Project Manager should go through the Risk Registry and get a status
from the responsible party. This is especially important at all Milestone meetings.
44
Four Basic Risk Response Strategies

ACCEPT
These are risks that are outside of the project teams ability to affect. They are what they
are and the team chooses to accept them.
AVOID
Some risks can be avoided all together. Can the design can be changed to alleviate this
risk? EXAMPLE: If an area of wetlands is identified as a risk because of the time and
costs involved in obtaining permits and developing mitigation, an avoidance strategy
might be to change the alignment to miss the wetlands or to design a retaining wall to
keep the fill out of the wetlands. In these cases the risk is entirely eliminated.
MITIGATE
The most common response strategy is Mitigation. Mitigating a Threat involves taking
action to reduce the probability of occurrence or reduce the impacts if the risk does occur.
EXAMPLE: The Team has identified sub-grade soft spots as a potential threat to the
project cost, one mitigation might be to drive the project with the local Shed Foreman and
have him identify all of the areas of pavement that give him problems. These areas can
be identified in the plans and a pay item developed for Soft Spot Repair. This does not
eliminate the possibility that additional areas will need to be repaired but it does lessen
it. It also establishes a contract price for the work which tends to be cheaper that the
change order price.
TRANSFER
Sometimes the appropriate strategy to a risk is to make someone else own the risk. It is
not common but there are some risks that rightly belong to someone else. Remember
though, if a risk is transferred to the Contractor, he will include a cost in his bid to cover his
potential liability. EXAMPLE: The Departments Fuel Escalation specification. It directly
transfers the risk of fuel price fluctuation, up to a certain percentage, to the Contractor.
Above that level the Department owns the risk. It is up to the Contractor to estimate
what he feels fuel prices will do over the course of the project and then prepare his bid
accordingly. In this example the Contractor may elect to Avoid this risk by pre-purchasing
fuel from his supplier at a fixed price, eliminating the possibility of price fluctuations.
7.4 CHAPTER SUMMARY

It is the rare project indeed where everything goes exactly to plan. These variances from the
plan can lead to significant costs and schedule slippage. Risk Management is a tool to help
Project Teams identify risks, prioritize them based on their expected impacts, develop response
strategies, and track the response implementation. It can also help identify potential budget and
schedule issues early in the projects development process. The use of Risk Management on
several dozen projects has proved its usefulness.
The Department has elected to implement some form of Risk Management on every project;
from the largest, most complex reconstruction job to the average Orange Book project. We have
developed a range of tools for Project Managers and Project Teams to use on their projects. Now
it is up to them to move forward and use these tools to better manage their projects!
45
Chapter 7
7.5 RESOURCES
Benefits of Risk Management
7.5.1 HELPFUL LINKS

Risk Assessment and Allocation for
Highway Construction Management
Understanding the project risks will allow project teams

to deliver their projects more efficiently by:
Allowing the project team to focus their efforts on areas of
greatest potential return
Giving the Project Team a range of probable project cost
and schedule early in the project development process
Providing a tool for Project Managers in their
communications with Management and others concerning
the cost and schedule of a project, based on a quantitative
analysis of the project
Allowing the project team to properly allocate risk in the
contract documents
Supplying all levels of UDOT information to make better
decisions
7.5.2 TOOLS
Risk Assessment Checklist
Project Outreach Planner (POP)
Qualitative Risk Worksheet
7.5.3 CONTACTS
UDOT Risk Manager
Deputy Preconstruction Engineer
Public Involvement Manager
46
GLOSSARY
23CFR
Title 23 Code of Federal Regulations
Regulation to implement and carry out the
provisions of Federal law relating to the
administration of Federal aid for highways.
(FHWA)
ABC
Accelerated Bridge Construction
A method of bridge construction that uses
innovative planning, design, materials,
and construction methods in a safe and
cost-effective manner to reduce the onsite
construction time that occurs when building
new bridges or replacing and rehabilitating
existing bridges. (FHWA)
AC Agreement
Advanced Construction Agreement
An AC agreement allows the State to
advance a federal construction project without
obligating the Federal Aid. The State or Local
Agency bears all expenditure outlay to cover
the agreement. This is typically handled
through Systems Planning & Programming.
AC Conversion
Advanced Construction Conversion
When the intended Federal Aid and/or
Obligation Authority is available, a portion or
the entire AC amount may be converted to
obligated funds. Eligible expenditures may be
billed for reimbursement to the State or Local
Agency after the AC Conversion. (23CFR
Chapter I Subpart G 630.709)
ARRA
American Recovery and Reinvestment Act of
2009
The primary objective for ARRA was to
save and create jobs almost immediately.
Secondary objectives were to provide
temporary relief programs for those most
impacted by the recession and invest in
infrastructure, education, health, and green
energy. (Wikipedia)
ATMS
Automated Traffic Management System
ATMS is a component of an Intelligent
Transportation System (ITS). ATMS integrates
technology primarily to improve the flow of
vehicle traffic and improve safety. Real-time
traffic data from cameras, speed sensors,
etc. flows into the Transportation Operations
Center (TOC) where it is integrated and

processed (e.g. for incident detection), and
may result in actions taken (e.g. traffic routing,
DMS messages) with the goal of improving
traffic flow. (Wikipedia)
Additives
During the design process contractors are
required to bid add-on portions of work in
anticipation of receiving low bid prices where
additives can be selected.
Administrative Record
The record which reflects all communications,
media events, meeting minutes, etc, applicable
for environmental NEPA documents.
Amendment
An audit trail for any changes made to a
project in ePM.
Apportionment
Apportionment is a term which refers to a
statutorily-prescribed division or assignment
of funds. An apportionment is based on
prescribed formulas in the law and consists of
dividing authorized obligation authority for a
specific program among the states. Examples
include National Highway Performance
Program (NHPP), Surface Transportation
Program (STP), and Congestion Mitigation
and Air Quality (CMAQ), programs. (txdot.
gov)
Approved Amount
Requested funds that have been authorized by
the FHWA.
Arterial
A functional classification of a roadway that is
found in both rural and urban environments,
which primarily focuses on high levels of
mobility through relatively higher overall
speeds rather than land access. (fhwa.dot.
gov)
Arterial, Minor
Streets and highways linking cities and larger
towns in rural areas in distributing trips to
small geographic areas in urban areas (not
entering identifiable neighborhoods). (fhwa.
dot.gov)
Arterial, Principal
Major streets or highways, many with multilane or freeway design, serving high-volume
traffic corridor movements that connect major
generators of travel. (fhwa.dot.gov)
47
Glossary
Audit (see Post Audit)

The act of scrutinizing files for infractions to
the 23CFR.
Authorization
Federal &/or State spending approval for STIP
projects & programs.
Authorization Signature
Signature required from authorized UDOT &/
or FHWA representative(s), after requesting
funds from FHWA or other officials, before
spending can occur.
Award
Owners notice to a bidding contractor of the
acceptance of their submitted bid on a project.
BVI
Bid Variation Index
A statistical comparison that measures the
variation of construction bid prices among
bidding contractors on a given project.
Betterment
Facility construction improvements, beyond
the scope of the project, that are added to a
UDOT project and are funded by a 3rd party
(i.e. local government, etc.).
Betterment Agreement
A signed document detailing the facility
construction improvement items to be
constructed, and the financial responsibility
between UDOT & the 3rd party.
Bid Opening
A price validation process used to accept,
compare & evaluate construction bids or
proposals submitted by Contractors, to ensure
fair and equitable selection.
Blue Book Project
Projects that may include new construction,
rehabilitation, &/or reconstruction; in order
to extend the life of bridges and pavement.
Funding consists of Federal and State funds
on Interstates, National Highway System, &
Federal aid eligible routes.
C128
Report on Assembly of Final Estimate
Is used to ensure complete documentation
for the closing of a contract and is required by
FHWA for the project closing process. This is
included in the final letter packet.
C190
Project Acceptance Report
Is used to document substantial and physical
48
completion and is required by FHWA for the

project closing process. This is included in the
final letter packet.
C196-A
Project Materials Certification & Attachment A
Provides certification of the project materials to
the District Engineer and is required by FHWA
for the project closing process. This is included
in the final letter packet.
CAA
Commission Approved Amount
Initial funding amount programmed on each
project in the STIP. The Utah Transportation
Commission Approved Amount found in the
ePM Program Development module, on the
710 screen under "Project Number" tab.
The cost of the project is not to exceed this
number.
CatEx
Environmental Categorical Exclusion
A CatEx is prepared for actions that do not
individually or cumulatively have a significant
effect on the environment. These are actions
that do not: induce significant impacts to
planned growth or land use for the area;
require the relocation of significant numbers
of people; have a significant impact on any
natural, cultural, recreational, historic, or
other resource; involve significant air, noise,
or water quality impacts; have significant
impacts on travel patterns; and otherwise,
either individually or cumulatively, have any
significant environmental impacts (23 CFR
771.117(a)). (UDOT Environmental Process
Manual of Instruction)
CCP
Construction Completion Packet
From central construction stating the
construction has been completed on a project.
A series of forms designed to summarize the
Construction phase of a project, including
time to complete, material acceptance, DBE
commitments, change orders, material over/
under runs and Contractor payments.
CD Budget
Concept Development
A nominal amount (usually $10K) assigned
to a project to conduct a study to determine
the feasibility of that project. Funds assigned
to concept development are always nonparticipating.
CE Budget
Construction Engineering
Is the portion of a project budget that provides
construction engineering oversight on a
project.
CFC
County of the First Class Fund
House Bill 287 from the 2001 General
Legislative Session created a special revenue
fund that receives 25 percent of Salt Lake
County's 0.25 percent public transit sales tax
that was approved by voters in the November
2000 general election. Funds can be used
for I-15 and other state highway projects
within Salt Lake County and for debt service
on bonds issued to pay for such projects as
prioritized by the Transportation Commission.
(udot.utah.gov)
CHF
Centennial Highway Fund
The CHF is an allocation of state and
federal money for use in building capacitydriven transportation projects. Uses include
construction, major reconstruction or major
renovation of state and federal highways,
the most prominent of which was the I-15
reconstruction in Salt Lake County. (udot.
utah.gov)
CHNF
Critical Highway Needs Fund
During the 2007 Utah Legislative Session,
House Bill 314 created the CHNF. This fund
is used on various transportation projects
throughout the state as prioritized by the
Transportation Commission based on
recommendations developed by UDOT under
criteria identified in state law. (udot.utah.gov)
CMAQ
Congestion Mitigation Air Quality
A type of federal funding that may be added to
a project to assist in obtaining or maintaining a
certain standard of air quality.
CMGC
Construction Manager General Contractor
This is a modified Design Build process in
which the owner holds the contract for both the
consultant designer and the contractor.
CMGC Project
Construction Manager General Contractor
Project
Contracting process in which a contractor is
selected to aid with the design and is then
invited to propose a price for the construction

of the project. This is intended to identify and
reduce project risk and cost of construction, by
involving the contractor in design decisions.
Time is saved while the project is in design
and construction risk is minimized.
CMPO
Cache Metropolitan Planning Organization
Is responsible for comprehensive
transportation planning in portions of Cache
County, Utah. (cachempo.org)
CMS
Contract Management System
Module in ePM used for consultant
contracting.
CO
Change Order
Change orders modify the contract and are
required for, but not limited to, the following
conditions: Plan or specification change or
addition, differing site condition or significant
change in the character of work, change in
DBE commitment, extension of contract time,
extra work required that cannot be tied to an
original bid item, and acceptance of a value
engineering proposal. (UDOT Construction
Manual of Instruction)
CO-OP (see FAA)
Cooperative Agreement
CPM
Critical Path Method
A scheduling technique that uses activity
durations and dependencies to calculate
the longest path of planned activities to the
end of the project, and the earliest and latest
that each activity can start and finish without
making the project longer. (Wikipedia)
Capital Costs
The value of the physical features on a project
Commission Minutes
Minutes taken during UDOT Transportation
Commission meetings that contain pertinent
information regarding projects.
Congressional Districts
Required 2-digit numeric field identifying the
congressional district in which a project is
located.
Construction Final Letter
A letter issued from the Engineer for
Construction & Materials that terminates
49
Glossary
a construction contract & releases the

contractor.
Consultant Contract
A contract written by UDOT Consultant
Services for architectural/engineering services
or engineering related services for either
UDOT or local government projects. The
funding may be State, Federal, or Local
Government. A consultant contract has
various methods of qualification-based
selection (i.e. General Engineering Services
and Local Government Pool, Request for
Qualifications, Request for Letter of Interest, or
Engineer of Record).
Corridor Preservation
Land purchase in anticipation of future road
construction.
DB
Design Build
There are several types of DB projects,
including best value and low bid. Generally,
UDOT develops documents which identify
the end result product, establishes the design
criteria and a preliminary design which
provides information on unknowns such as the
geotechnical data to minimize a contractors
risk. Prospective bidders develop design
proposals based on these documents. The
design-build concept allows a contractor
maximum flexibility for innovation in the
selection of design, materials and construction
methods. With DB, the contractor assumes a
much larger role in the control of the project,
with UDOT handling more of an advisory and
quality assurance role. (UDOT PM Guide)
DBB
Design Bid Build
UDOT designs the project and develops a
set of plans, specifications, and an estimate
(PS&E). These documents are advertised to
the contracting population and they submit
bids for the work. The lowest responsive
bidder is selected to perform the work. UDOT
maintains control of the construction project.
(UDOT PM Guide)
DBE
Disadvantaged Business Enterprise
DBEs are for-profit small business
concerns where socially and economically
disadvantaged individuals (i.e. African
Americans, Hispanics, Native Americans,
Asian-Pacific and Subcontinent Asian
50
Americans, and women) own at least a 51%

interest and also control management and
daily business operations. (USDOT)
DE
Design Engineer
An engineer that designs roadway projects.
DUNS Number
Data Universal Numbering System Number
Is a universal numeric identifier used to track
entities receiving federal awards and must be
provided on all federal grant applications.
Dixie MPO
Dixie Metropolitan Planning Organization
The Dixie MPO is designated by the state of
Utah to oversee transportation planning in
the urbanized and urbanizing areas in Utahs
Washington County historically known as
Utahs Dixie. (dixiempo.wordpress.com)
EA
Environmental Assessment
A NEPA document prepared for a project that
is not on the CatEx list, and does not have
significant environmental impacts (i.e. minor
widening project).
EBS
Electronic Bidding System
A UDOT software application that manages
the project construction bidding process.
EE
Environmental Engineer
An engineer that manages the NEPA process.
EIS
Environmental Impact Statement
A NEPA document for a project that is
determined to pose significant environmental
impacts. Typical for projects with a new
alignment and can take three to four years to
complete.
ePM
Electronic Program Management
A UDOT software application that holds all
spending information regarding STIP projects
and programs.
ePM, 495 Screen Expenditure Summary
Specific screen found in the ePM Project
Development module under the Financial
tab. shows the project expenditure summary.
ePM, 505 Screen Cost Estimate
Engineers Estimate
Development module under the Financial

tab. shows the Project Managers planned
cost estimate of a project.
ePM, 710 Screen Pin/Project Setup
Project Information
Development module under the Setup
tab. Shows detailed project and funding
information (i.e. descriptions, route name,
location, etc.).
ePM, 861 Screen Report Selection
Development module under the Reports
tab which can generate various reports (i.e.
budgeting, projects, Gantt, etc.).
Earmark
Federal funds that are "earmarked" for a
specific project. This funding can only be used
for specified project. Any unexpended funds
are returned to the FHWA.
Eligible
Costs that meet federal standards for
reimbursement of federal funds.
Encumbrance
Reflects contractual project financial
commitments prior to an actual expenditure.
Management tool to prevent overspending.
Engineers Estimate
Term given to a document found in PDBS that
is created by the project engineer, which gives
a detailed breakdown of costs in all phases
of the project to advertise for construction
contractor. This document must remain within
the project value.
Environmental Documentation/Project File
A file that contains all the relevant
environmental documents for a given project.
Maintaining an accurate and up-to-date
project file is an important task in any NEPA
study. This documentation includes the
Administrative Record. (UDOT Environmental
Process Manual of Instruction)
Expenditure
Any incurred cost to a project.
FAA
Federal Aid Agreement
A signed agreement between UDOT and a
local government which describes the funding
responsibility for a local project.
FHWA
Federal Highway Administration
The Federal Highway Administration (FHWA)
is an agency within the U.S. Department of
Transportation that supports State and local
governments in the design, construction, and
maintenance of the Nations highway system
(Federal Aid Highway Program) and various
federally and tribal owned lands (Federal
Lands Highway Program). (fhwa.dot.gov)
FMIS
Fiscal Management Information System
Federal system used to enter and track
obligation of funds, expenditures, information
and financial changes and adjustments on
federally funded projects.
FMIS Action
Any adjustment or obligation within the FMIS
system that requires signature authorization.
FMIS Number
A unique number generated for each project
in ePM which identifies it within the FMIS
system.
FONSI
Finding of No Significant Impact
A FONSI is both the decision by FHWA
that the project has no significant impacts
and the documentation of that decision.
A determination that the project will have
no significant impacts is made by FHWA,
following consideration of the analysis
presented in the EA, consideration of
comments on the EA made by agencies and
the public, UDOTs selection of the preferred
alternative, and any changes in the proposed
action based on the comments received.
(UDOT Environmental Process Manual of
Instruction)
Final Voucher (FV)
A document generated by the Comptrollers
office that breaks down all costs on all sub
phases of a project or program. Every penny
that was programmed for the project is
accounted for by this final document.
Federal Aid Program
All federal funds that states are allowed to
expend, providing federal criteria is met.
Federal Bill Reimbursement
A weekly bill submitted to FHWA for
reimbursement to the state for costs incurred
on federal projects. Initially, the state covers
51
Glossary
the funding of any given federal project. Only

after submitting necessary documents and
receiving authorization of funds by FHWA,
does this qualify the state to be reimbursed by
FHWA.
Federal Funding
Monies from the federal government to fund
UDOTs federal aid program.
FINET
A Utah State software accounting application
used to track costs. The FINET program is a
cost accounting of Chart of Accounts element
inputted on expenditure documents. A FINET
program with a prefix of 5 or 4 identifies
involvement of federal funds on the project.
Fiscal Year
Dates within a specific time frame in which
fiscal expenditures are recorded. The Utah
State fiscal year differs from the Federal fiscal
year.
Flexible Match
Allows a variety of public and private
contributions to be counted toward the nonFederal match for Federal-Aid projects.
Candidate Federal-Aid projects for flexible
match must be identified at the time of project
application. The candidate project requires
evaluation of the total project funding for
determination of flexible match feasibility and
pre-approval by the UDOT Local Government
Programs Engineer. Soft match is a match
credit to a project derived from a non-project
source, i.e., toll credits, off-system bridge
credits. The amount the state spends on
these projects can be credited to another
using Federal-Aid funds. The Federal share
on the Federal aid project does not change
with the non-Federal share satisfied by a
soft match. However, the billing ratio is up
to 100% of cost incurred depending on the
amount of soft match.
Funded Year
Funds that show in the current year in the
STIP. Only current funded year funds can be
reimbursed.
Funding Priority
The funding source that is determined or
required to be the first to be expended on a
project that has more than one funding source.
GIS
Geographic Information System
52
A technological field that incorporates

geographical features with tabular data in
order to map, analyze, and assess real-world
problems. (GISlounge.com)
Green Book Project
Projects which may include new construction,
rehabilitation and/or reconstruction for
extending the life of bridges and pavements.
Funding consists of State construction funds
or dedicated federal funds.
HCP
Highway Construction Program
The HCP contains revenue from legislative
appropriations. These funds are used for
construction and reconstruction of state
and federal highways as assigned by the
Transportation Commission. The projects
funded by this program are intended to be
smaller in scale and for congestion relief.
Once the projects included in the current
Statewide Transportation Improvement
Program (STIP) are complete, the program is
finished; there is no additional funding. (udot.
utah.gov)
HPP
High Priority Project
Term given to a project that is deemed more
important to construct and is funded with
earmarked funds.
ICE
Independent Cost Estimate
A cost estimate performed by responsible
UDOT agent to estimate the amount needed
for contracted work to be performed.
ITS
Intelligent Transportation System
Information and communication technology
(applied to transport infrastructure and
vehicles) that improve transport outcomes
such as transport safety, transport productivity,
travel reliability, informed travel choices,
social equity, environmental performance and
network operation resilience. (Wikipedia)
Incentives
Financial rewards for completion of a portion
of the work on a project on or before schedule.
Inkind Match (see Flexible Match)
Innovative Contracting
Any method of contracting that varies from
low-bid contracting. Includes incentive/
disincentives, warranties, Price + Time
Bidding, lane rental, additives, alternate

bidding, Design-Build, and CMGC.
Interstate System
A network of limited-access roads including
freeways, highways, and expressways
forming part of the National Highway System.
(Wikipedia)
JHC
Administers several types of federal funds that
are allocated to Utah each year by Congress
for use on transportation facilities in the rural
and small urban areas throughout the state.
In addition to these funds, specific dollars are
also set aside for bridges on the local system
in all areas of the state. (UDOT PM Guide)
Jurisdictional Transfer
The process for the transfer of a highway or
roadway from one jurisdiction to another. The
transfer of jurisdiction is usually from the state
to a city or county when the highway's function
or management objectives are more aligned
with local functions.
LG
Local Government
A city or county government which operates
independent of UDOT.
Local Match
Funds contributed to a project by a local
entity that are required as a pre-determined
percentage match for federal funds on a given
project.
Local Route
A local road that is not maintained by UDOT.
MAG MPO
Mountainland Association of Governments
Metropolitan Planning Organization
MAG MPO serves the three county region
of Summit, Wasatch and Utah Counties,
Utah, population of 588,003 (2008 Census
Estimate). (mountainland.org)
Memorandum of Understanding (MOU)
A formal letter describing an agreement
defining stewardship & responsibilities
between FHWA & UDOT.
MilePost (MP)
A system used to designate exact points along
a roadway alignment. All Interstate routes are
mileposted beginning at the most westerly
or southerly point. The beginning point is

milepost '0'. If the first interchange on the
route is located between milepost 4.0 and 5.0,
it is numbered as Interchange #4. The next
interchange, if located at milepost 8.7, would
be numbered as Interchange #8, etc. With this
system the motorist can easily determine the
location and distance to a desired interchange.
(fhwa.dot.gov)
MPO
Metropolitan Planning Organization
A federally mandated and federally funded
transportation policy-making organization
in the United States that is made up of
representatives from local government and
governmental transportation authorities. Utah
has four MPOs: CMPO, DIXIE, MAG, and
WFRC. (Wikipedia.org)
Master PIN
A method of grouping PINs with similar
objectives into categories. The 3 uses of
Master PINs include Region, Portfolio, &
Megaprojects. A Region uses a Master PIN
to track all projects in the region that are not
part of a Portfolio or a Megaproject. A Portfolio
uses a Master PIN to track all the projects that
are funded by that Portfolio. Megaprojects
will often use a Master PIN to capture all the
various PINs that cumulatively make-up the
Megaproject.
NBI
National Bridge Inventory
The aggregation of structure inventory
and appraisal data collected to fulfill the
requirements of the National Bridge Inspection
Standards that each State shall prepare and
maintain an inventory of all bridges subject
to the National Bridge Inspection Standards.
(fhwa.dot.gov)
NBIS
National Bridge Inspection Standards
Federal regulations establishing requirements
for inspection procedures, frequency of
inspections, qualifications of personnel,
inspection reports, and preparation and
maintenance of a State bridge inventory.
(fhwa.dot.gov)
NBIS Inventory #
Each structure over 20 measured along the
center of the roadway is given a structure
number assigned by UDOT Structures to track
53
Glossary
inspections, maintenance, & projects (this also

includes LG structures).
NEPA
National Environmental Protection Act
NEPA requires federal agencies to integrate
environmental values into their decision
making processes by considering the
environmental impacts of their proposed
actions and reasonable alternatives to those
actions. (epa.gov)
NHS
National Highway System
This system of highways designated and
approved in accordance with the provisions of
23 U.S.C. 103b. (fhwa.dot.gov)
Nonparticipating
Activities or items that are determined to be
ineligible for federal participation and must be
paid with non-federal funds. (mdt.mt.gov)
OA
Obligation Authority
The total amount of funds that may be
obligated in a given fiscal year. This is
comprised of the obligation limitation amount
plus the amounts for programs that are
exempt from the obligation limitation. (fhwa.
dot.gov)
Obligation
A Federally committed dollar amount for a
specific project sub-phase.
Obligation Limitation
An annual Congressional restriction or ceiling
on the amount of Federal assistance that may
be obligated during a specific period of time.
This is a statutory budgetary contract that
does not affect the apportionment or allocation
of funds. Rather, it controls the rate at which
these funds may be used. (fhwa.dot.gov)
On-Call Contract
A contract with a consultant for architectural
/ engineering services to perform particular
tasks to supplement UDOT staff for peak
periods or for particular expertise currently
unavailable within the Department that may be
billed to various projects. There are various
limitations on this contracting method, which
include, a) Contract limit, b) Project limit
within the contract, c) Fee type is unit price,
d) Selection rules still apply, e) Duration limit
of one-year with the ability to extend for one
additional year, f) No retainage is required.
54
Operating Costs
Project costs that are not used to fund the
physical features of a roadway; such as
studies, design, construction oversight, etc.
Orange Book Project
(See Pavement Preservation Program)
Preservation projects that include pavement
and bridge preventive maintenance. Funding
may consist of state and/or federal funds.
Out Year
Refers to a fiscal year in the future.
Overflow
Project cost in excess of programmed funding
on Federal-Aid projects. Additional funding
sources must be identified for overflow
expenditures.
Overrun
An unexpected contract item cost that exceeds
the contracted quantity due to an underestimation of the item quantity. (LoDaRy)
OSR
Operational Safety Report
A report which includes a review of
accident history, existing features, and a
recommendation to correct these issues.
OSRs are provided at the beginning of
projects during the concept and scoping
phases so that safety planning can be a part of
the entire project development process. (udot.
utah.gov)
PDBS
Project Development Business System
A UDOT software application that allows
UDOT, its consultants, and contractors to
document and control construction projects.
PDC
Project Design Criteria
Established state and national standards and
procedures that guide the establishment of
roadway layouts, alignments, geometry and
dimensions for specified types of roadways
in certain defined conditions; the principal
design criteria for roadways are traffic volume,
design speed, the physical characteristics of
vehicles, the classification of vehicles and the
percentage of various vehicle classification
types that use the roadway. (iowadot.gov)
PDD
Defines the project scope, goals, metrics, and
delivery method; identifies major potential
risks; provides a preliminary cost estimate;

and establishes the schedule.
PE
Preliminary Engineering
Work necessary to advance a project from
concept stage to award of contract. Includes
scooping, planning studies, developing
alternatives, environmental documentation,
project design and preparation of all project
plans and contract documents. (Idaho DOT)
PFV
Preliminary Final Voucher
Document generated by the Comptrollers
office that defines all expenditures on a
project. This differs from a final voucher in
that consultant and/or utility contracts may
not be complete at the time it is issued. This
document precedes the final voucher.
PIN
Project Identification Number
Identification number assigned to a project in
ePM.
PM
Project Manager
The individual responsible for the execution
and completion of a project from cradle to
grave, which involves managing a team
comprised of UDOT employees &/or
consultants.
PM Tech
Project Management Technician
The UDOT individual responsible to provide
support services for the PMs in a given region.
PS&E
Plans, Specifications, & Estimates
Plans, Specifications and Estimates (PS&E)
are the detailed plans and accompanying
specifications and construction cost estimates
which serve as documents for construction
contract letting purposes. Plans are the
contract drawings which show the location,
character, and dimensions of the prescribed
work, including layouts, profiles, cross
section, other miscellaneous details, and
quantity summaries. Specifications are the
compilation of provisions and requirements
for the performance of prescribed work. The
estimate is a list of all bid items and quantities
estimated bid prices, total cost for each bid
item, and the total estimated cost for the
proposed project. (txdot.gov)
Pass Through
Federal funds that are passed directly through
UDOT to the receiving entity. The state
never deposits the funds, but distributes them
only. Example: The state receives funds
from FHWA and distributes them to the City,
County, private party, or other entity.
Pavement Preservation Program
Consists of preventive maintenance
projects that includes that include pavement
maintenance. Funding may consist of state
and/or federal funds.
Pending Action
Anything entered into FMIS that is waiting for
federal approval and/or authorization.
Planned Funds
Funds that are part of the Federal
apportionment for a fiscal year. These funds
are programmed in the STIP and ePM to be
obligated with specific criteria set by FHWA.
Policy
Defines the broad guidelines by which the
UDOTs administrative groups develop their
administrative rules. (udot.utah.gov)
Post Audit (see Audit)
UDOT Internal Audit Division performs post
audits on utility contracts (over $25K) and
consultant contracts (over $250K). Contracts
less than the threshold amount may also be
selected for post audit if there have been past
audit problems with an entity, the entity is not
familiar with federal regulations, or otherwise
selected for audit review.
Pro Rata
Proportional Ratio
The percentage at which federally funded
projects are matched by either the state or
local funds.
Procedure
States how policy will be implemented.
Program
Programs are approved on the STIP as an
allotment of money that is designated for
a certain type of work. Projects are then
selected by a Program/Portfolio Manager
based on criteria designated for that Program.
(UDOT PM Guide)
Program Finance
The UDOT department responsible for the
obligation and authorization of funding.
55
Glossary
Project
Projects are approved individually on the
STIP. A project is an effort, having a defined
beginning and end undertaken to meet unique
transportation needs. (UDOT PM Guide)
ProjectWise
A Bentley application that UDOT uses for
project file management and collaboration.
Project Definition Document (see PDD)
Project File
Hard and electronic copies of all required
documents and necessary e-mails for a given
project or program for program finance.
Project Value
The total funds available for a project.
Purple Book Project
Projects that address only the pavement
surface, which includes resurfacing for asphalt
pavements or work of similar scope and
function for concrete pavements; work items
are limited to pavement resurfacing and other
work that is necessitated by that resurfacing.
(UDOT Purple Book Scoping & Development
Process Guidelines)
R-76
State-Only Funded Project Funding
Authorization Form
Form generated by Program Finance and
used by UDOT that authorizes the spending of
state funds on a project.
R-77
Termination of Authority Form
Document generated by Program Finance
after receipt of the final letter, or email from
the PM for non-construction projects, that
terminates the spending authority of a project.
R-709
Federal Funding Authorization Form
UDOT Form generated by Program Finance
that authorizes the spending of funds on a
program or specific sub phases of a project.
RE
Resident Engineer
The individual responsible for the day to day
construction management of a project.
RFP
Request for Proposal
An invitation to contractors or consultants to
submit a proposal on a specific project.
56
RFQ
Request for Qualifications
An invitation to consultants to submit a
statement of qualifications on a specific scope
of work for a project. The RFQ process is
a qualifications-based selection following
the Brooks Act in 1972, which requires
that engineering firms are selected based
upon their competency, qualifications, and
experience rather than by price. (Wikipedia)
ROD
Record of Decision
The ROD (signed by FHWA) constitutes the
official federal decision and action for the
project under NEPA, meaning that FHWA
and UDOT can proceed with right-of-way
acquisition and final design of the project.
(UDOT Environmental Process Manual of
Instruction)
ROW
Right of Way
A division within UDOT Project Development
whos primary responsibility is to acquire
property needed for highway purposes and
relocate displaced businesses or persons.
The division is also responsible for the
management of properties acquired, the
oversight of local government highway
projects using state and federal funds, utilities,
access management, statewide permits, right
of way plans, maps and records. (udot.utah.
gov)
ROW, Acquisition
The process of acquiring real property (real
estate) or some interest therein. (UDOT
Acquiring Property Brochure)
ROW, Incidentals
Any expenses incurred from the acquisition of
right of way, i.e. appraisals, relocation costs,
closing costs, lawyer fees, etc.
ROW, Shotgun Estimate
Document created by the Right of Way agent
when properties must be acquired for the
building of roads. The property purchased
could be multiple parcels that are fully or
partially impacted by a road construction
project. The shotgun is a breakdown of the
costs of the acquisition. An R-709 must
be submitted along with this document for
requesting funds from FHWA.
RUE Engineer
Right of Way, Utilities, & Environmental
Engineer that oversees Right of Way, Utilities,
& Environmental.
Red Book Project
Safety Spot Improvement projects, which may
include new signal equipment at warranted
intersections, guardrail end treatments,
intersection lighting route markers, school
zone sign upgrades, turn lanes, shoulder
treatments, passing lanes and other spot
safety work.
Rescission
Legislation enacted by Congress that cancels
the availability of budget authority previously
enacted before the authority would otherwise
expire. (fhwa.dot.gov)
Systems Planning & Programming (SP&P)
Division that supports UDOT's overall
efforts through four major business areas:
1) monitor transportation system conditions,
2) identify transportation needs, 3) establish
transportation plans, 4) determine program.
(udot.utah.gov)
SR
State Route
Roads that comprise the state road system.
STIP
Statewide Transportation Improvement
Program
UDOT's Statewide Transportation
Improvement Program (STIP) is a five-year
plan of highway and transit projects for the
State of Utah. The STIP is approved by the
FHWA and Federal Transit Administration
(FTA) and includes all TIP projects as adopted
by the Metropolitan Planning Organizations
(MPO) and approved by the Transportation
Commission.
SUE
Subsurface Utility Engineering
A branch of engineering practice that involves
managing certain risks associated with utility
mapping at appropriate quality levels, utility
coordination, utility relocation design and
coordination, utility condition assessment,
communication of utility data to concerned
parties, utility relocation cost estimates,
implementation of utility accommodation
policies, and utility design. (ASCE)
Scenic Byway
Roads designated on the National Scenic
Byways Program (NSBP) that have
outstanding scenic, historic, cultural, natural,
recreational, and archaeological qualities.
(fhwa.dot.gov)
Soft Match (see Flexible Match)
State Forces/Furnished
State employed man power or state owned
materials that may be used on a project.
Must have justification for use, due to
noncompetitive selection.
State Funding
Funding that will not be reimbursed by federal
funds. No federal authorization is needed.
Stewardship Agreement
An agreement to formalize the roles and
responsibilities of the FHWA, Utah Division
and UDOT in administering the Federal Aid
Program.
Sub Phase
Each project is sub divided into several
phases. A sub phase denotes one of these
divisions. Examples include: 01D for in house
PE, 06K for construction, 03C for construction
CE, etc.
T-725
Project Authorization Memo
Document that shows the breakdown of costs
on each sub phase of a project along with the
funding source/sources. This document is
submitted to the Deputy Director for signature
prior to the advertisement of the project.
TIF
Transportation Improvement Fund
The TIF was created in the 2005 Special
Session by House Bill 1008 and contains
revenue from legislative appropriations,
sales tax and vehicle registration fees. These
funds are used for maintenance, construction
and reconstruction of state and federal
highways as assigned by the Transportation
Commission. (udot.utah.gov)
TIGS
Transparency in Government Spending
A UDOT website that shows the public how
funds are being spent on projects.
TIP
Transportation Improvement Program
The Transportation Improvement Program is
57
Glossary
a staged, multi-year, intermodal program of

transportation projects covering a metropolitan
planning area that is consistent with the
metropolitan transportation plan. (txdot.gov)
TOC
Traffic Operations Center
UDOT central location for gathering traffic
information using advanced technologies such
as cameras and traffic and weather sensors.
Operators use this information to monitor
traffic, detect accidents/problems, and take
actions necessary to return traffic flow to
normal. (udot.utah.gov)
UDOT
Utah Department of Transportation
State agency that constructs roads, bridges,
highways, paths, etc. for the state.
uGate
A UDOT software application which provides
spatial and non-spatial data from throughout
UDOT in one location.
uPlan
UDOT Planning Network
A UDOT developed web-based mapping
and information tool designed to assist local
agencies and UDOT during the transportation
planning process
Unexpended Funds
Programmed funds on a project that have not
been expended.
Utah Transportation Commission
A committee of members appointed by the
governor to serve as part of an independent
advisory committee which prioritizes projects
and decides how funds are spent. (udot.utah.
gov)
Utility Agreement
An agreement that establishes how a utility
company will be partially or completely
reimbursed for utility work required due to a
UDOT project. Traffic lights, electricity, gas,
sewer, rail roads, etc. are all considered
types of utilities that may have an impact on
a project. A utility agreement is created to
determine what type of utility services will
impact a road construction project. The utility
agreements are usually between UDOT and
the utility company and costs are typically
reimbursed by UDOT to the utility company at
50% or 100%, although other ratios can apply.
58
VMS
Variable Message Sign
Electronic roadway signs that provide
changing but specific information to roadway
users. Messages are controlled by the
TOC and may be used for the purpose of
construction, incident management, traveler
information and maintenance activities.
(cotrip.org)
Various Routes
When a project has multiple routes that are not
defined/mapable in ePM.
W10A
Federal Funding Balance Report
FMIS report that shows exact federal funding
amounts obligated and remaining to be
expended by the state.
W96A
Federal Authorization Form
FMIS report that shows all obligated funding
on a project.
WFRC MPO
Wasatch Front Regional Council
The WFRC is an association of 60 cities
and five counties organized for the purpose
of pursuing goals of common interest. The
WFRC area of service comprises Davis,
Weber, Morgan, Salt Lake and Tooele
Counties and the cities contained therein.
(wfrc.org)
WTO
Work Task Order
A request for specific consultant work using a
preapproved on call contract. (LoDaRy)
Yellow Book Project
Emergency UDOT bridge repair projects.

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Table of Contents

4- MANAGE PROJECT EXECUTION....18

2- HOW PROJECTS ARE

3- PLANNING THE PROJECT..........11

5- PROJECT CONSTRUCTION AND

Last revised 06/30/2013

UDOT University | Program Manager Guide

5.4.2 Final Inspection and Final Inspection

6.5.5 Prepare Independent Cost Estimate (ICE)

7- MANAGING PROJECT RISK...........39

Callout boxes can be found throughout

UDOT University | Program Manager Guide

INTRODUCTION TO PROJECT MANAGEMENT GUIDE

1.1 WHAT IS A PM?

Does the project support UDOTs Strategic Goals?

Is it an asset to the surrounding communities and environment?

The responsibilities of a PM seem daunting. Fortunately, there are numerous resources to

PARTICULAR FOCUS AREAS FOR

Clarifying the responsibilities of a

1.2 HOW WILL THIS GUIDE

The mastery of Project Management

1.3 HOW IS THIS GUIDE ORGANIZED?

UDOT University | Program Manager Guide

HOW PROJECTS ARE CREATED

Projects happen when a

2.1 GROUPS THAT GENERATE PROJECTS

UDOT Program Managers

2.1.1 UDOT PROGRAM MANAGERS

Responsible to Deliver Regions Program

Lead Region STIP Process

2.1.2 UDOT PORTFOLIO MANAGERS

UDOT Fund Fact Sheet

2.1.3 METROPOLITAN PLANNING ORGANIZATIONS

2.1.4 JOINT HIGHWAY COMMITTEE

2.2 DIFFERENT TYPES OF

UDOT University | Program Manager Guide

2.2.2 STATE FUNDING

Its important to understand that federal funding on any

Local Government federalaid projects must meet the

2.3 PROCESS FOR CREATING PROJECTS

2.4 CHAPTER SUMMARY

conditions that dictate the type of work performed with those

Guide to Federal Aid Projects and

Wasatch Front Regional Council

Fund Fact Sheets

UDOT Finance Director

UDOT Local Govt Programs Engineer

UDOT University | Program Manager Guide

PLANNING THE PROJECT

The more you plan, the luckier

UDOTS STRATEGIC GOALS

A successful project starts with the development of a

3.1 ESTABLISHING PROJECT CONTEXT

Planning / Corridor Studies

3.1.1 REVIEW PROJECT INFORMATION

3.1.2 PROJECT SPONSOR

3.1.3 SELECT THE DEFINITION TEAM

This process is scalable. This means that the Definition

UDOT University | Program Manager Guide

completing the draft PDD. This may require additional

PROJECT DEFINITION DOCUMENT

Create Objective Statement

Project Objective Statement